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 ...

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.

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 ...

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 ...

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.

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 ...

Private markets products will overtake actively managed public market strategies to account for the majority of the asset and wealth management industry's revenue in the next five years, according to ...

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 ...

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 ...

Mariner Wealth Advisors is among several wealth management firms to have reached a settlement in a class-action lawsuit accusing the companies of suppressing competition for industry professionals, ...

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 ...