The Financial Industry Regulatory Authority has barred a former UBS financial advisor accused of borrowing hundreds of thousands of dollars from customers, using some of their investments to pay his ...

The consumer watchdog, long in the crosshairs of President Donald Trump and billionaire tycoon Elon Musk, laid off between 1,400 and 1,500 staffers on Thursday, representing as much as 90% of the ...

Raymond James announced that it has launched a proprietary, artificial intelligence–powered search capability for its financial advisors. The capability leverages generative AI to enable advisors and ...

Worried about inflation and tariffs, the majority of U.S. retail investors have taken a bearish stance, according to a recent Morgan Stanley report.

Disagreements among GOP ranks have also flared among deficit hawks and some Senate Republicans resorting to "a new budget gimmick" to obscure the full weight of the taxes by financing certain ...

Transier has been in the industry since 1998, when she registered with J.P. Morgan, according to her BrokerCheck record. She had stints at Donaldson, Lufkin & Jenrette; Credit Suisse First Boston; and ...

An SEC spokesperson declined to comment. The ASA sued the SEC in June 2024, alleging that the regulator violated the Freedom of Information Act by denying multiple requests for records detailing how ...

The CFPB, set up in 2010 in the wake of the 2008 financial crisis in large part to protect consumers from predatory financial practices, will slash inspections of financial services firms in half, ...

LPL Financial is channeling restaurateur Will Guidara 's concept of "unreasonable hospitality" to elevate its service, said Chief Executive Officer Rich Steinmeier, charging an ever-expanding roster ...

Christa Carone, Gary Carrai, Brett Goodman, Scott Posner and Brent Simonich have been promoted from executive vice presidents to managing directors, LPL announced Tuesday. Current managing directors ...

Estate planning startup Wealth.com says it is partnering with financial planning software bulwark eMoney Advisor to give Wealth.com's roughly 800 wealth management firms access to eMoney data and ...

The Financial Industry Regulatory Authority has barred an ex– Morgan Stanley financial advisor accused of accepting more than $120,000 in kickbacks from a customer's investments in new offerings.