Raymond James Chief Executive Officer Paul Shoukry earned more than $17 million in his first year at the firm's helm, representing a more than 144% increase compared to his compensation in 2024.

The Financial Industry Regulatory Authority has sidelined a longtime Ameriprise Financial advisor for making hundreds of unauthorized transactions in customers' accounts.

As more advisors turn to outside buyers for their succession plans amid increasing valuations and more enticing deals, the compatibility of their firm's clients and culture should still be a ...

The Financial Industry Regulatory Authority has censured and fined a Miami-based broker-dealer over alleged failures related to its customer relationship summary, or Form CRS.

Hightower Signature Wealth, Hightower Advisors ' recently launched platform aimed at registered investment advisory firms, has crossed $20 billion in assets with the addition of five ...

The Financial Industry Regulatory Authority has opened a comment period for proposed rule changes that would provide firms additional ways to prevent investment fraud, including schemes targeting ...

In its latest deregulatory maneuver, the Securities and Exchange Commission has proposed revamping how it classifies and therefore regulates small advisory firms, something industry lobbyists have ...

UBS has again increased its chances of relaxing capital requirements proposed by the Swiss government, with the largest party in Switzerland's parliament throwing its support behind a compromise ...

An 11-person Merrill Lynch team joined Wells Fargo Advisors ' Financial Network, the hiring firm announced on Wednesday. A team of financial advisors with $805 million in client assets has departed ...

An 11-person Merrill Lynch team joined Wells Fargo Advisors ' Financial Network, the hiring firm announced on Wednesday. A team of financial advisors with $805 million in client assets has departed ...

A Florida-based financial advisor has settled a civil lawsuit in which she alleged that an Ameriprise Financial recruiter quashed her opportunity to join the firm because she refused his sexual ...

There's been a rush to invest in Venezuela after the U.S. military captured and moved its authoritarian leader Nicolas Maduro to a Brooklyn jail over the weekend — and that rush is "ridiculous," one ...