Wells Fargo has disclosed that U.S. regulators are indeed investigating how banks are managing customer complaints about ...

This story originally ran in Financial Advisor IQ sister publication FundFire. UBS is reviewing its $1.65 trillion asset management unit in a bid to reduce costs, Reuters reports. The Zurich-based ...

The Federal Trade Commission is already facing legal challenges in the wake of its recent prohibition of new noncompete agreements between employers and workers across industries. In the registered ...

This story originally ran in Financial Advisor IQ sister publication Ignites. Vanguard is adding fees across its brokerage service for clients with a smaller pool of assets starting July 1. The ...

Wells Fargo has been awarded more than $730,000 in clawback damages against a financial advisor who was discharged by the ...

The company's wealth team, which includes Matt Murch, Joseph Webster, Sabrina Pledger, Amy Villarreal, Kyle Pledger and ...

As part of its efforts to bolster organic growth of its advisors' businesses and reach more ultra-wealthy clients, LPL ...

Broker-dealers in recent months have unveiled ways for their advisors to make changes in clients' accounts without needing ...

Raymond James will lean on its investment banking arm and use private investment offerings to aid its advisor force in doing ...

Wells veterans Kurt Campman and Courtney Raney have been appointed to head FiNet's Western and Northeast divisions, ...

RBC agreed to a censure, to pay a fine of $375,000 and to pay $393,833.50 in restitution to customers, without admitting or ...

Tru Independence is hybrid RIA and broker-dealer Sanctuary's first strategic acquisition, CEO Adam Malamed told FA-IQ, adding ...