Ancona, a 24-year veteran of the industry, claims that she was a "top performer" and had an "exemplary" employment record, but that her performance was undermined by Olivier Guerin, who at the time ...

Though advisors still widely use asset-based fees, flat-fee models are also growing in popularity, an AdvicePay report found. Financial advisors are increasingly turning to subscriptions and other ...

The most recent hire is R. Brennan Barlow, who joins LPL's broker-dealer, registered investment advisory and custodial platforms just outside of Dallas in Flower Mound, Texas, the company said in an ...

The Securities and Exchange Commission concluded its investigation into Morgan Stanley 's cash-sweep program without recommendations for enforcement action, according to the firm's quarterly filing to ...

Charles Schwab & Co. and two of its TD Ameritrade subsidiaries have been ordered to pay a total of more than $250,000 plus interest to resolve an investor claim against a former financial advisor ...

RIAs will also be able to enroll in several Goldman evergreen funds simultaneously via iCapital's platform, "reducing friction and complexity for end clients," Lawrence Calcano, chairman and chief ...

Vanguard has rolled out a generative artificial intelligence tool for financial advisors in what it says is its first client-facing use of the technology.

Raymond James is providing its advisor force access to Zoom 's artificial intelligence meeting notetaker.

Raymond James announced a new equity option for its independent financial advisors in which the firm makes a minority investment in a participating advisor's practice.

In a statement issued Monday, Finra said that "several recent statements published in news media mischaracterize" its proposal. The industry watchdog said statements suggesting that there were new ...

UBS Group is on the hook for more than half a billion dollars over extensive tax evasion facilitated by its Swiss rival Credit Suisse before UBS acquired it in 2023.

Americana, a registered investment advisory firm that taps Dynasty for back-office services, received a strategic investment from private equity firm Lovell Minnick Partners last October. The RIA ...