Raymond James is facing a lawsuit from dozens of investors accusing the firm of failing to warn them and regulators about one of its former financial advisors in Jacksonville, Florida.

The percentage of investors mixing DIY and professional advice has risen by about 10% over the past five years, the survey found, while those who are strictly DIY with zero outside help is off 8% over ...

Financial Advisor IQ today is looking back at the headlines that grabbed the most attention in 2024. This issue is a collection of the biggest news stories as measured by clicks and reader engagement ...

LPL Financial and one of its newest financial advisors are facing a lawsuit alleging misappropriation and misuse of confidential information. La Jolla, California–based Canter Strategic Wealth ...

In the spirit of giving this holiday season, Financial Advisor IQ presents the stories readers forwarded and saved most in ...

The Consumer Financial Protection Bureau, which faces a major overhaul under the administration of incoming President Donald ...

Friday may not be the end of the bleeding for JPMorgan: Cultural mismatches and a looming deadline for domiciling First Republic clients could prompt more exits in the coming weeks, sources familiar ...

A strategic hiring approach sets apart the top RIAs, Schwab said: 60% of top-performing RIAs have a documented employee value ...

Merrill Lynch has agreed to pay $4.9 million to settle a complaint accusing the wirehouse of failing to pay overtime to ...

Between January 2017 and at least December 2018, at least 22 UBS Financial Services registered representatives or ...

Edward Jones, Osaic and Cambridge Investment Research were ordered to collectively pay more than $8.2 million in restitution ...

Edward Jones, Osaic and Cambridge Investment Research have been ordered to collectively pay more than $8.2 million in ...