President Donald Trump's Trump Media & Technology Group Corp., the business used so far to sell cryptocurrency, steaks and Bibles, among other goods, is working on rolling out financial products, ...

The Financial Industry Regulatory Authority has suspended and fined a former Osaic Wealth broker accused of improperly handling a bequest from a customer's estate.

A group of financial industry lobbying groups are urging the Securities and Exchange Commission to drop the requirements for reporting substantial cybersecurity events within a certain timeframe.

A pair of financial advisors say they have left Bison Wealth to launch their own independent registered investment advisory firm. Merrill Lynch had an active recruiting week ahead of the holiday ...

A Sage Rutty financial advisor who had spent more than 20 years at the Rochester, New York–based broker-dealer has left for Rockefeller Capital Management's wealth management unit.

A pair of financial advisors say they have left Bison Wealth to launch their own independent registered investment advisory firm. Merrill Lynch had an active recruiting week ahead of the holiday ...

HPS Investment Partners, a $150 billion private credit manager, announced on Wednesday it will make a strategic investment in Los Angeles–based Lido Advisors, a $30 billion wealth manager.

Atria Wealth Solutions, which was acquired by LPL Financial last year, is laying off 55 employees in the Houston area, according to the Houston Chronicle.

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

A former Wells Fargo executive has asked an appeals court to throw out the $10 million fine she was ordered to pay in the wake of the bank's 2016 bogus-account scandal.

LPL Financial has appointed industry veteran Tara Thompson Popernik executive vice president and head of wealth planning, a newly created role, a firm spokesperson confirmed Wednesday. Stifel ...

Raymond James announced that Trustmark National Bank has selected the Raymond James platform to support the bank's $2.7 billion financial planning and advisory business, Trustmark Financial Services.