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 Two pertain to the matters resolved through arbitration in the past six weeks; two were denied; one was withdrawn; and ...

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 ...

This story originally ran on Financial Advisor IQ sister publication FundFire. Goldman Sachs is positioning itself to become a one-stop shop for ultra-wealthy clients by rolling out what it calls a ...

The Financial Industry Regulatory Authority has sanctioned another broker-dealer accused of violations related to investments in GPB Capital Holdings securities. Between November 2015 and April 2018, ...

The disclosure comes as Morgan Stanley faces at least three putative class-action lawsuits over its sweep rates plus a fourth ...

Strive Enterprises, co-founded by one-time presidential hopeful Vivek Ramaswamy and touting "unapologetic capitalism," said ...

The Financial Industry Regulatory Authority has suspended and fined an LPL Financial advisor over an unapproved side business ...

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 ...

In March, Wilson told Bloomberg that he thought the S&P 500 would end at 4,500, or about 13% from where the index was trading ...

Furthermore, high-net-worth investors make up 37% of private wealth managers' clients — compared to just 7% of case-based ...

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.

A former financial advisor accused of swindling millions from elderly and vulnerable customers has agreed to pay $7 million ...