Order in the court? Financial Advisor IQ today is looking back at the most popular legal and regulatory stories among ...

Advisors were increasingly drawn to high-commission structured notes as downside protection and yield from fixed income ...

Baird & Co. last year. She left Wells for Baird in 2011 and stayed there until April 2023, when she switched to RBC Capital ...

To do so, J.P. Morgan has been adding various features, such as fractional shares and trust accounts, and improving the user ...

But pro athletes can be quite similar to other wealth management clients, James Beale, a former hockey player who serves as ...

The percentage of investors mixing DIY and professional advice has risen by about 10% over the past five years, the survey found, while those who are strictly DIY with zero outside help is off 8% over ...

Raymond James is facing a lawsuit from dozens of investors accusing the firm of failing to warn them and regulators about one of its former financial advisors in Jacksonville, Florida.

In the months preceding his exit, Bernier, "encouraged" by LPL, gathered confidential client information for the purpose of soliciting those clients after his move to LPL, according to the complaint ...

Wealth management firms' interest in and adoption of artificial intelligence in 2024 has soared, and next year promises a ...

November saw ETF asset flows of $156 billion, which "crushed" the previous monthly record, Cerulli Associates said in a ...