Financial Industry Regulatory Authority arbitrators have ordered a Long Island, New York–based registered investment advisory firm and two of its officers to pay a total of more than $7 million to ...

Merit Financial Advisors continues its aggressive expansion through mergers and acquisitions, most recently adding a practice previously affiliated with Commonwealth Financial Network, which is now ...

Merit Financial Advisors continues its aggressive expansion through mergers and acquisitions, most recently adding a practice previously affiliated with Commonwealth Financial Network, which is now ...

Financial advisors have an important role to play in helping wealthy clients make the best decisions with their charitable-giving endeavors, according to industry executives.

The Securities and Exchange Commission announced Tuesday that Cristina Martin Firvida, director of the Office of the Investor Advocate, will leave the agency at the end of January 2026.

Merit Financial Advisors continues its aggressive expansion through mergers and acquisitions, most recently adding a practice previously affiliated with Commonwealth Financial Network, which is now ...

Some customers of J.P. Morgan, Morgan Stanley and Citigroup may have had their sensitive personal data exposed as part of a hack against a third-party technology firm that works with lenders, ...

Morgan Stanley has lured a New York City–based market executive back from Merrill Lynch. Raymond James has lured from Morgan Stanley a family team of advisors in Atlanta to join its employee advisor ...

Morgan Stanley has lured a New York City–based market executive back from Merrill Lynch. Raymond James has lured from Morgan Stanley a family team of advisors in Atlanta to join its employee advisor ...

Commissioner Mark Uyeda of the Securities and Exchange Commission has set out the institutional and regulatory framework to pave the way for private investments in defined-contribution plans as ...

Victoria Bailey, a former aspiring singer now turned private wealth advisor at Morgan Stanley, says she initially didn't know as much about the financial industry as she would have liked. But the high ...

Commonwealth Financial Network has continued shedding financial advisors following its acquisition by LPL Financial this summer, most recently losing experienced professionals to Kestra Financial and ...