A father-son financial advisor duo has initiated the latest legal battle in the ongoing war between Morgan Stanley and financial advisors who say the wirehouse refused to pay them money they were owed ...

Three months on from its blockbuster deal to acquire Commonwealth Financial Network, LPL Financial is focused on educating Commonwealth advisors about LPL's services — with an eye toward its goal of ...

Wells Fargo has cleared the last hurdle imposed on it by regulators over the past decade, largely in connection with the firm's infamous bogus accounts scandal.

Envestnet has bolstered its support of registered investment advisory firms with the addition of an executive from Atria Wealth Solutions. Raymond James has added a former LPL Financial advisor to a ...

Securities and Exchange Commission Chair Paul Atkins has again vowed to steer the agency away from the oft-criticized approach to digital assets of his more crypto-skeptic predecessor, often accused ...

Envestnet has bolstered its support of registered investment advisory firms with the addition of an executive from Atria Wealth Solutions. Raymond James has added a former LPL Financial advisor to a ...

The registered investment advisory space has grown "tremendously" over the past quarter of a century, evolving to better serve clients and reach new ones, according to an annual snapshot report ...

Larry Restieri, the former head of Goldman Sachs ' private wealth management subsidiary, Ayco, has taken the reins at Hightower as its chief executive officer, the company said in an announcement on ...

The Financial Industry Regulatory Authority has narrowed the qualifications for arbitrators who decide cases in its dispute-resolution forum in a push to improve "the quality of the arbitrators." But ...

Financial advisors who work with athletes, entertainers and other celebrities have to play smart to win clients and work hard to keep them. Collaborating with the rest of a client's support group or ...

Larry Restieri, the former head of Goldman Sachs ' private wealth management subsidiary, Ayco, has taken the reins at Hightower as its chief executive officer, the company said in an announcement on ...

This story originally ran on Financial Advisor IQ sister publication FundFire.