Investor advocates think the money should instead go to clients who haven't been paid outstanding arbitration awards.

Following similar glitches at Lloyds and the London Metal Exchange, a tech outage at UBS has renewed scrutiny on modern ...

Not all tech integrations are created equally. Industry experts discussed what advisors should focus on when evaluating ...

The Biden Administration rule for a fiduciary standard on one-time retirement-related advice died in two separate court ...

The Securities and Exchange Commission and the Commodity Futures Trading Commission issued an interpretation of how federal ...

Considered a report card on client satisfaction across both advised and DIY customers, the latest JD Power survey points to ...

Authenticity and judgment will emerge as differentiators for financial advisors as AI tools reduce the cost of early-stage ...

A new annual compensation report by consulting firm Succession Resource Group explains how pay plans can boost — or detract ...

The RIA technology platform builds on its acquisition of AI-powered liability-optimization fintech Sora Finance last year.

Punitive damages, disclosures over employment terminations, the statute of limitations for bringing claims — FINRA is asking ...

A recent alert from the U.S. Securities and Exchange Commission flags ongoing compliance gaps in testimonials, endorsements ...

Federal Judge David Nye sides with a broker fired over five years ago for placing trades without first obtaining his client's ...