Robinhood, which is serving as the brokerage and initial trustee for so-called Trump Accounts, has obtained an exemption from the Securities and Exchange Commission regarding regular requirements for ...

This story originally ran on Financial Advisor IQ sister publication FundFire.

Roughly 40% of workers and 25% of retirees don't know where to look for financial advice, according to a recent EBRI/Greenwald survey.

LPL Financial said Wednesday that a trio of financial advisors in LaGrange, Georgia, joined its broker-dealer and registered investment advisor platform from rival Raymond James. Registered investment ...

Registered investment advisory investor Merchant Investment Management said it has partnered with Emerge Business Management to expand the family office capabilities of Merchant's partner firms.

UBS on Thursday said Rick Penafiel, a longtime manager at J.P. Morgan Wealth Management, will be joining the firm as market executive for South Florida, a newly created market. RBC Wealth Management – ...

The former Wells Fargo security executive who became a whistleblower in the firm's fake-accounts scandal is fighting to restore about $125 million slashed from his whistleblower award under Securities ...

UBS on Thursday said Rick Penafiel, a longtime manager at J.P. Morgan Wealth Management, will be joining the firm as market executive for South Florida, a newly created market. RBC Wealth Management – ...

An Osaic -affiliated office of supervisory jurisdiction and its lead advisor have been ordered to pay a total of more than $2.5 million to a former compliance officer who claimed that she was forced ...

Although open to pursuing acquisitions, Raymond James prefers to recruit financial advisors on an individual basis to ensure that those practices are additive to the firm, according to Chief Executive ...

The Securities and Exchange Commission has obtained final judgment against a self-proclaimed investment advisor serving prison time over a Ponzi scheme that cost his victims millions of dollars.

Focus Financial Partners is going after a team of financial advisors who jumped ship, accusing them of trademark infringement and other violations related to the name they chose for their new practice ...