A former New York–based financial advisor who allegedly stole more than $1.1 million from customers in an investment ruse has been sentenced to six years in prison.

As top college athletes and their coaches increasingly receive compensation packages on par with some of their professional counterparts, financial advisors who specialize in athletes may now find ...

The Financial Industry Regulatory Authority has fined another broker-dealer over alleged failures related to the Securities and Exchange Commission 's Regulation Best Interest and the customer ...

Cetera has acquired Texas-based Plains Wealth Management, an independent practice overseeing about $400 million in assets that has joined the firm's registered investment advisory model.

Cetera has acquired Texas-based Plains Wealth Management, an independent practice overseeing about $400 million in assets that has joined the firm's registered investment advisory model.

After decades of helping countless Americans save for retirement, so-called "solo 401 (k) plans" are having a renaissance, spurred on by changing demographics, wealth management firms helping clients ...

Despite leaked reports that UBS is considering moving its headquarters out of Switzerland if new capitalization requirements by the country's government are approved, the government is mostly sticking ...

A Long Island, New York–based registered investment advisory firm and its principals have again been ordered to pay millions in damages over investments that have been at the center of several other ...

Financial advisors may have a receptive audience with Gen X retirement savers, many of whom will need help setting up a proper plan, according to a new report.

Wells Fargo Advisors has lured several financial advisors to its independent Financial Network from rivals, the firm announced on Tuesday. NewEdge Advisors has brought on a team managing $1.4 billion ...

Last year was another record year for mergers and acquisitions in the registered investment advisor space, underscoring the role of inorganic growth for the industry, according to a new report.

Wells Fargo Advisors has lured several financial advisors to its independent Financial Network from rivals, the firm announced on Tuesday. NewEdge Advisors has brought on a team managing $1.4 billion ...