A former Wells Fargo Advisors branch manager in California has sued the firm and her former supervisor, alleging that Wells condoned a sexist work culture he created and fired her in retaliation when ...

"I respect Jamie Dimon, of JPMorgan Chase, greatly, but he will not be invited to be a part of the Trump Administration," the president-elect wrote on Thursday in a post on Truth Social, the social ...

This week, a Finra arbitration panel awarded LPL compensatory damages of $254,944.21, which included interest accrued through Nov. 7, plus interest at a daily rate of nearly $50 until the judgment is ...

Ron Carson, the founder, chairman and former chief executive of Carson Group, is officially changing his name to Omani Carson.

Dynasty Financial Partners announced the formal launch of Model Select, a program that helps Dynasty's affiliated advisors focus on growth by outsourcing some everyday tasks of investment management.

This story originally ran on Financial Advisor IQ sister publication Ignites. When brokers or financial advisors offer mutual funds and exchange-traded funds that are clones of one another, a recent ...

Goldman Sachs is positioning itself to become a one-stop shop for ultra-wealthy clients by rolling out what it calls a "personal chief financial officer" service, The Wall Street Journal reports. The ...

Sean Michael Kane allegedly impersonated clients to effect transactions in their Waddell & Reed accounts after the firm fired him. The Securities and Exchange Commission has barred a ...

Roberts' BrokerCheck record reflects 20 customer complaints since October 2022. Two pertain to the matters resolved through arbitration in the past six weeks; two were denied; one was withdrawn; and ...

Morgan Stanley has suffered a legal setback fighting a multimillion-dollar deferred-compensation lawsuit brought by hundreds of its former financial advisors, according to news reports.

The team's supervisor, Samuel Alt, a white man, told Pulido that Hallman "did not want to work alongside any 'Hispanics'" but otherwise "casually dismissed" Pulido's concerns regarding Hallman, ...

Advisor Susan VanSpybrook has poached at least six of her former clients since leaving J.P. Morgan, in violation of a restrictive covenant, the firm alleges in a lawsuit. J.P. Morgan is seeking ...