In the spirit of giving this holiday season, Financial Advisor IQ presents the stories readers forwarded and saved most in ...

Paul Reilly, who's stepping down as chief executive officer of Raymond James Financial in February after 14 years, told Barron's that he only gives himself "credit for two things." ...

A strategic hiring approach sets apart the top RIAs, Schwab said: 60% of top-performing RIAs have a documented employee value ...

Merrill Lynch has agreed to pay $4.9 million to settle a complaint accusing the wirehouse of failing to pay overtime to ...

Wealthtech giant Orion has reached an agreement to acquire advisor technology provider Summit Wealth Systems. Summit, ...

The Consumer Financial Protection Bureau, which faces a major overhaul under the administration of incoming President Donald ...

LPL invested around $500 million in technology and infrastructure improvements in 2024, resulting in more than 250 new product updates for advisors, institution and end-client experiences as well as ...

Robert W. Baird has prevailed in an arbitration claim against several of its former financial advisors and Raymond James, for which they left Baird, though Baird only recovered a fraction of the ...

Edward Jones, Osaic and Cambridge Investment Research were ordered to collectively pay more than $8.2 million in restitution ...

Wells Fargo and LPL Financial have settled charges over their alleged failure to provide regulators with complete and ...

A barred broker in Wisconsin has been sentenced to two years in prison for running an investment-fraud scheme after his ...

Between January 2017 and at least December 2018, at least 22 UBS Financial Services registered representatives or ...