Merrill Lynch has agreed to a settlement payout with a former NFL player that's several times more than what was allegedly stolen from him by one of the firm's former financial advisors.

Clients referred to registered investment advisors through Charles Schwab 's Advisor Network will soon need to have a minimum of $2 million in investable assets, up from the current threshold of ...

Raymond James announced that it has lured from Commonwealth Financial Network a financial advisor team overseeing $1.1 billion in client assets. Beacon Pointe Advisors said it has added a 10-person ...

The Financial Industry Regulatory Authority has suspended and fined a former Wells Fargo financial advisor who was discharged by the firm amid allegations of using unauthorized communication channels ...

J.P. Morgan Chief Executive Officer Jamie Dimon, ever the contrarian among his Wall Street peers, isn't convinced the current stock rally has legs, according to the BBC.

The Financial Industry Regulatory Authority has denied a financial advisor's appeal of a suspension and fine related to unauthorized distributions from a retirement account under the direction of his ...

St. Louis–based Stifel Financial Corp. has laid off nearly 60 employees in its hometown, according to news reports.

Growth in the retirement plan market coupled with greater demand for guidance and education from plan sponsors has spurred more advisors to specialize in the retirement plan field.

Over two dozen scholars, writing on behalf of the North American Securities Administrators Association, are urging lawmakers to rein in digital assets legislation that the group says will undermine ...

The Financial Industry Regulatory Authority has suspended and fined an ex– Wells Fargo financial advisor accused of failing to disclose a real estate venture he undertook with one of his clients.

As competition for advisors in the registered investment advisor space grows, firms are looking to increase compensation and use additional incentives to get advisors to stay once they're in the door, ...

A Financial Industry Regulatory Authority arbitration panel has ruled in favor of a high-producing Morgan Stanley financial advisor seeking expungement of claims related to customer losses from ...