UBS is seeking a temporary restraining order against three financial advisors who left the wirehouse for RBC Wealth Management last month.

An ex– Ameriprise Financial advisor, barred for allegedly borrowing more than $2.1 million from a customer, has agreed to pay a total of more than $2.2 million to the firm and two other customers who ...

J.P. Morgan boss Jamie Dimon is engaged in more than construction of one of the most expensive office towers in Midtown Manhattan: He's building a neighborhood for the 10,000 employees based in the ...

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.

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 ...

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 ...

Wells Fargo Advisors ' FiNet independent channel has recently recruited advisors with a total of $665 million in assets under management, the firm announced. Raymond James says it has added an ...

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 ...

Wells Fargo Advisors ' FiNet independent channel has recently recruited advisors with a total of $665 million in assets under management, the firm announced. Raymond James says it has added an ...

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 ...