The Financial Industry Regulatory Authority has sanctioned a Florida-based broker-dealer over alleged annuities-related violations of the Securities and Exchange Commission 's Regulation Best Interest ...

The Securities and Exchange Commission has called into question the eligibility of two cryptocurrency exchange-traded funds offering staking rewards, according to Bloomberg.

Financial advisors considering a change of employers may want to check their record before giving notice. Industry professionals say the path to finding a new firm is becoming increasingly difficult ...

This story originally ran on Financial Advisor IQ sister publication FundFire. D.A. Davidson & Co. has lost a pair of financial advisors to Raymond James in Utah.

This story originally ran on Financial Advisor IQ sister publication FundFire.

A version of this story originally ran on Deconstructed, a weekly newsletter from Financial Advisor IQ that breaks down news and perspectives on portfolio construction.

John Thiel may have long ago left his role as the head of wealth management at Merrill Lynch, but he is not done thinking about financial advisors.

The Securities and Exchange Commission said it's charged a former financial advisor in Florida with fleecing dozens of clients, primarily Venezuelan nationals and including Catholic dioceses, out of ...

Cetera Financial Group has named a former Envestnet executive to lead the RIA Blueprint suite of services for registered investment advisors. A trio of financial advisors have left Procyon to found ...

Cetera Financial Group has named a former Envestnet executive to lead the RIA Blueprint suite of services for registered investment advisors. A trio of financial advisors have left Procyon to found ...

The Financial Industry Regulatory Authority has suspended and fined a former Osaic Wealth broker accused of improperly handling a bequest from a customer's estate.

The complex terms and aggressive sales tactics often associated with annuities have made many fee-based advisors hesitant to use them, but efforts to simplify messaging about the products and improve ...