A former Wells Fargo Advisors branch manager in California has sued the firm and her former supervisor, alleging that Wells condoned a sexist work culture he created and fired her in retaliation when ...

This week, a Finra arbitration panel awarded LPL compensatory damages of $254,944.21, which included interest accrued through Nov. 7, plus interest at a daily rate of nearly $50 until the judgment is ...

Ron Carson, the founder, chairman and former chief executive of Carson Group, is officially changing his name to Omani Carson.

Dynasty Financial Partners announced the formal launch of Model Select, a program that helps Dynasty's affiliated advisors focus on growth by outsourcing some everyday tasks of investment management.

"I respect Jamie Dimon, of JPMorgan Chase, greatly, but he will not be invited to be a part of the Trump Administration," the president-elect wrote on Thursday in a post on Truth Social, the social ...

Sean Michael Kane allegedly impersonated clients to effect transactions in their Waddell & Reed accounts after the firm fired him. The Securities and Exchange Commission has barred a ...

Roberts' BrokerCheck record reflects 20 customer complaints since October 2022. Two pertain to the matters resolved through arbitration in the past six weeks; two were denied; one was withdrawn; and ...

Goldman Sachs is positioning itself to become a one-stop shop for ultra-wealthy clients by rolling out what it calls a "personal chief financial officer" service, The Wall Street Journal reports. The ...

The team's supervisor, Samuel Alt, a white man, told Pulido that Hallman "did not want to work alongside any 'Hispanics'" but otherwise "casually dismissed" Pulido's concerns regarding Hallman, ...

This story originally ran on Financial Advisor IQ sister publication Ignites. When brokers or financial advisors offer mutual funds and exchange-traded funds that are clones of one another, a recent ...

When Donald Trump becomes president of the United States in January, the Securities and Exchange Commission is generally expected to ease its stance on crypto and environmental, social and governance ...

Osaic Services, known as SagePoint Financial from January 2009 to November 2023, allowed registered representatives without sufficient knowledge or experience with options trading to override trading ...