A small change being contemplated at the Securities and Exchange Commission on how it approves exchange-traded funds for listing is set to usher in an era of new fund launches tied to cryptocurrencies ...

A new study suggests that the Wells Fargo bogus-account scandal played into the hands of fintech lenders — negatively impacting not only Wells but also other banks.

The vast majority of financial advisors nearing retirement lack a proper succession plan — and they may be putting their practice in peril as a result, according to a new survey.

The Securities and Exchange Commission has charged a Chicago-based registered investment advisory firm and its chief executive — a one-time Merrill Lynch financial advisor — with overcharging clients ...

A retired National Football League player has sued his former financial advisor, claiming to have lost millions of dollars in a Ponzi scheme allegedly run by the advisor, according to news reports. To ...

An arbitrator has rejected a former Wells Fargo advisor's bid to escape two promissory notes by saying he was forced to quit the wirehouse over its handling of a client's trust.

J.P. Morgan, in a bid to help rich clients spread their investments more globally, is restructuring its wealth management business and appointing a new executive to lead the firm's private bank, ...

Wealthtech giant Orion says it has expanded its partnership with fintech platform provider iCapital to give independent financial advisors access to alternative investments, including private equity, ...

Wall Street's push to bring more retail investors into private investments such as private equity and private credit has reached low-cost investing pioneer Vanguard, and the asset management giant is ...

The Financial Industry Regulatory Authority has fined and suspended an ex–LPL Financial advisor accused of failing to tell the firm that his wife and children had been designated beneficiaries of a ...

As the S&P 500 index finished off its best quarter in two years and hit another record, Bank of America clients across the board pulled money out of U.S. stocks at the fastest clip in months, ...

Raymond James announced that it has added three advisor practices with $1.1 billion among them from Ameriprise Financial. RBC Wealth Management has added two financial advisor teams with $570 million ...