SEC Chair Gary Gensler has defended his rulemaking agenda, saying it's aimed at protecting investors and creating greater transparency in sectors such as the $30 trillion private fund space, as ...

Ameriprise Financial Senior Vice President of Business Development and Experienced Advisor Recruiting Manish Dave has ...

Rohn is now suing Edward Jones, taking issue with the company's policy of forcing advisors to pay client fees when client ...

Carlos Leston, of Maywood, New Jersey, joined the financial services industry in 1998 and moved to LPL in 2008, according to ...

Edward Jones has introduced its first in-house managed account, offering no manager fee, a minimum investment of $50,000 and access to large-cap stocks as part of a broader plan to expand its SMA ...

The Securities and Exchange Commission is stepping up its legal game in a bid to ensure it has more purview of the crypto space, with a planned appeal of a decision involving its suit against crypto ...

From 2020 to 2023, the interest of such investors in paid financial advice grew across the board, with an increase of 8.6% for men and 17.3% for women, according to the Boston-based consultancy's ...

The suit alleges that Bubna's economic damages as a result were at least $60,000 in fees on the annuity and the interest each year of about $24,000, while noneconomic damages — including pain and ...

Sanjay Wadhwa, the unit's deputy director, will assume his responsibilities as acting director, and Sam Waldon, the division's chief counsel, will serve as acting deputy director after Grewal departs ...

Credit rates will also increase to 65% on all gross revenue generated through referrals to the firm's strategic client management team, which is a cross-divisional business-development group that ...

"LPL's Code of Conduct requires every employee, no matter their title, to foster a supportive and professional workplace and show respect to each other, our stakeholders and the broader community," ...

Bridgewise, the startup behind the chatbot, is also pursuing regulatory clearance to launch the bot on a Brazilian trading platform, according to Bloomberg. Financial advisors may have a lot less to ...