Goldman Sachs is venturing into the client referral space as it begins partnering with registered investment advisors to refer clients from Ayco, its financial planning and wealth management division ...

Edward Jones has issued profits interests to more of its financial advisor force, according to regulatory filings.

A Kansas-based registered investment advisory firm and its chief executive have been sued over allegations that one of the firm's former advisors lost hundreds of thousands of investor dollars in ...

RBC Wealth Management announced that it has added a financial advisor duo from UBS, where they had $660 million in client assets.

The U.S. Supreme Court is due to rule on the Securities and Exchange Commission 's power to order disgorgement, which has hit a record low during President Donald Trump 's second term, Bloomberg wrote ...

UBS has slammed the Swiss government's proposed capitalization requirements in a formal response to the measures, arguing that they would ultimately hurt rather than help the country's economy.

UBS Rejects Swiss Gov't Capitalization Proposal; Edward Jones Awards Profits Interests to More FAs;; Scorecard: Gens ...

The Financial Industry Regulatory Authority has opened a comment period for proposed rule changes that would provide firms additional ways to prevent investment fraud, including schemes targeting ...

In its latest deregulatory maneuver, the Securities and Exchange Commission has proposed revamping how it classifies and therefore regulates small advisory firms, something industry lobbyists have ...

As more advisors turn to outside buyers for their succession plans amid increasing valuations and more enticing deals, the compatibility of their firm's clients and culture should still be a ...

An 11-person Merrill Lynch team joined Wells Fargo Advisors ' Financial Network, the hiring firm announced on Wednesday.

An 11-person Merrill Lynch team joined Wells Fargo Advisors ' Financial Network, the hiring firm announced on Wednesday. A team of financial advisors with $805 million in client assets has departed ...