A former Edward Jones financial advisor has agreed to pay the firm $1.5 million to resolve allegations that he breached his employment agreement two years ago when he left the firm for Kingsview ...

A data breach at a third-party provider led to the theft of data on tens of thousands of UBS workers, according to Swiss newspaper Le Temps. A cyberattack on a third-party provider has resulted in the ...

Advisors James Patrick and William deButts claim that non-solicit, non-serve and confidentiality clauses in their Focus contracts prevent them from connecting with their former clients until 2027.

The Federal Reserve 's decision to lift the $1.95 trillion asset cap on Wells Fargo should prove a positive development for the firm's wealth management business and financial advisors, though the ...

Raymond James has added a 10-advisor team overseeing nearly $1 billion in client assets to its independent advisor channel from competitor Ameriprise, according to Kirk Bell, Central division director ...

Raymond James has added a 10-advisor team overseeing nearly $1 billion in client assets to its independent advisor channel from competitor Ameriprise, according to Kirk Bell, Central division director ...

Cetera Financial Group 's public courtship of Commonwealth Financial Network 's financial advisors continues.

Raymond James has added a 10-advisor team overseeing nearly $1 billion in client assets to its independent advisor channel from competitor Ameriprise, according to Kirk Bell, Central division director ...

A former financial advisor and his Maryland-based registered investment advisory firm have been barred by the state for unsuitable and excessive trading and misrepresentation, but they managed to have ...

A Charles Schwab franchise owner was recently terminated because, according to the firm, he was not adhering to "compliance expectations" regarding revenue sharing and account-movement requirements.

RBC Wealth Management announced that it has added three financial advisors from UBS, where they had a total of about $1.1 billion in client assets. UBS announced it lured back a Texas-based financial ...

As alternative investments increase in popularity and barriers for everyday retail investors to access private markets seem poised to come down, advisors should school up on the asset classes and ...