An ex–J.P. Morgan private client banker can clear his record of Form U5 language he claims is defamatory and misleading. Julio Alberto Romero was discharged by JPMorgan Chase in November 2013, after ...

Goldman Sachs is the latest Wall Street giant to reverse course on diversity language in its corporate documents amid a countrywide pushback against diversity, equity and inclusion initiatives that's ...

The Certified Financial Planner Board is urging financial professionals to tap the capabilities of generative artificial intelligence, keeping in mind their obligations as far as the sensitivity of ...

The Securities and Exchange Commission has ordered all union staff back to the office a month after instructing them that they would not have to do that, according to news reports. All staff will be ...

Advisors going independent typically have had to compromise on capabilities for more control over their business, but that will soon change, according to LPL CEO Rich Steinmeier.

Wells Fargo is moving closer to getting unshackled from the $1.95 trillion asset cap imposed on the bank following the 2016 fake-accounts scandal, recent reports suggest, and the fresh termination of ...

This is the first article of Financial Advisor IQ's five-part special report on the impact of Secure Act 2.0 on financial advisors. Millions of retirement accounts are lost or forgotten. Job changes, ...

Welcome to Deconstructed, a weekly newsletter from Financial Advisor IQ that breaks down news and perspectives on portfolio construction. Wirehouses and asset managers have been nudging advisors to ...

LPL Financial announced that it has added a business exit planning service for its advisors to support clients who are business founders and owners or chief executive officers. The service connects ...