The number of brokers working in the financial services industry continued to rise even as the number of broker-dealer firms shrank again last year, according to a new report from the Financial ...

The defined contribution space is home to a plethora of underperforming funds with fees that are often many times more expensive than other options available to plan participants, according to a new ...

In a clear signal that the Securities and Exchange Commission isn't going to stop enforcing rules when it comes to crypto under President Donald Trump, the commission's so-called "crypto mom" has ...

A senior Consumer Financial Protection Bureau official who raised concerns about the way the agency is being handled by President Donald Trump 's administration has been sidelined, according to news ...

Citigroup is planning to hire hundreds of staff in Charlotte, North Carolina, including in personal banking, and it will invest millions of dollars in a new office in the city, according to news ...

Two Merrill Lynch retail clients will receive a total of nearly $3.7 million from the wirehouse in exchange for relinquishing "unsuitable" private equity investments that allegedly failed to generate ...

LPL Financial announced that it has added a father-son advisor duo from Raymond James, where they had about $450 million in advisory, brokerage and retirement plan assets. Cetera Financial Group has ...

Affluent investors around the world are putting their cash back to work after having much of it sidelined over the past year, and a large share of that money is heading into alternative investments, ...

LPL Financial announced that it has added a father-son advisor duo from Raymond James, where they had about $450 million in advisory, brokerage and retirement plan assets. Cetera Financial Group has ...

UBS is reimbursing certain customers who lost money following President Donald Trump 's vow to impose far-ranging tariffs this spring, according to The Financial Times.

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 ...

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 ...