An AdvizorPro study found that more than one-quarter of registered investment advisors are multicustodial. Registered investment advisors are opening to newer custodians as they seek multiple partners ...

Mary Erdoes, head of J.P. Morgan’s asset and wealth management business, intends to continue in that role regardless of who takes over Jamie Dimon’s job, sources said. This story originally ran on ...

The advisor put 96% of one client's liquid net worth into the speculative bonds issued by GWG Holdings, according to Finra. The Financial Industry Regulatory Authority has sanctioned a former ...

RBC Wealth Management announced it lured a UBS financial advisor team with about $500 million in client assets to its branch in Syracuse, New York.

Despite recently dismissing its lawsuit accusing cryptocurrency exchange Coinbase of illegally peddling cryptocurrencies, the Securities and Exchange Commission is still investigating whether the ...

Financial Industry Regulatory Authority executives speaking this week at the self-regulator's annual conference reinforced the agency's goals of modernizing its rules, streamlining compliance and ...

The public comment period on the Financial Industry Regulatory Authority 's proposed updates to its rules governing brokers' outside business activities closed on Tuesday, capping a particularly ...

Warren Buffett still believes he can steer Berkshire Hathaway through the most volatile of markets — the same way he did when he first started six decades ago — but he has realized there's finally ...

Staff reductions at the Securities and Exchange Commission following the buyouts offered by President Donald Trump 's administration have hit some divisions and locations harder than others, according ...

Goldman Sachs is on the hook for close to $1.5 million over allegedly misreporting billions of trades to the Consolidated Audit Trail database.

The private markets fund J.P. Morgan Chase 's asset and wealth management unit launched less than two years ago for individual investors has now passed $1 billion in assets, according to The Wall ...

UBS is shuttering parts of its digital wealth offerings just months after company leadership indicated a "rebalance" from its ultra-high-net-worth comfort zone toward a larger pool of clients ...