The Securities and Exchange Commission has unveiled a major initiative to deregulate vast swaths of the cryptocurrency sphere.

Raymond James announced that it has added a financial advisor team from Wells Fargo Advisors, where it had about $300 million in client assets. Raymond James announced that it has added the investment ...

The North American Securities Administrators Association has proposed updates to its model rules — which are often adopted by state regulators — that would allow state-registered investment advisors ...

Raymond James announced that it has added a financial advisor team from Wells Fargo Advisors, where it had about $300 million in client assets. Raymond James announced that it has added the investment ...

This story originally ran on Deconstructed, a weekly newsletter from Financial Advisor IQ that breaks down news and perspectives on portfolio construction.

The Financial Industry Regulatory Authority has suspended and fined an Oklahoma City–based financial advisor accused of impersonating customers to move their accounts between firms.

Wells Fargo is acknowledging its chief executive Charlie Scharf 's role in turning the company around in the wake of its bogus-account scandal, announcing plans of a hefty award and a promotion, ...

An executive in Wells Fargo 's broker-dealer financial crimes unit has filed a lawsuit accusing the firm of discrimination.

The president of the Unites States and the chief of its largest bank are back on speaking terms after years of "tensions," according to The Wall Street Journal.

UBS Group executives on Wednesday touted increased productivity from their Americas division's financial advisors, citing an increased reliance on the firm's wider banking services and growing ...

Fidelity and Vestmark have partnered to give advisors at registered investment advisors and broker-dealers access to an open-architecture custom model portfolio platform.

Stifel Financial 's recruiting of financial advisors has "accelerated" in 2025, particularly with regard to "productive" advisors who will bring more assets to the firm, according to Chief Executive ...