Some financial advisors might charge a hefty fee, treat you to lunch, and ask for referrals while still managing your ...

Regulators have suspended an Oklahoma financial advisor for impersonating clients in a series of phone calls with his former brokerage firm. His lawyer says he was trying to help the clients access ...

With a retirement crisis looming, the financial services industry needs to work toward one consistent set of rules, ...

A Finra panel has awarded two clients of A.G. Morgan Financial Advisors more than $2.5 million based on allegations that the firm's two advisors were negligent and breached their fiduciary duty when ...

Richard Lance Belline had a 30-year career as a broker with Equitable Advisors in Rogers, Ark., beginning in December 1993 and running until October 18, 2023, according to BrokerCheck. He became ...

FINRA rules for greater scrutiny of brokers with misconduct records may have simply nudged those individuals into insurance registrations with more lax supervision, a new study found. Processing ...

A three-person FINRA arbitration panel awarded $1.1 million, including back pay, to a former J.P. Morgan Securities financial advisor who claimed in the dispute the firm was in breach of contract. The ...

Discover the essential questions every financial advisor should ask clients to build trust, understand needs, and deliver ...

The role of a financial advisor is one that someone should unequivocally trust. If you are a fiduciary, you should be able to present your clients with recommendations that don’t serve your interests.

The industry regulator has sanctioned three broker-dealers in the Cetera network for weak controls around low-priced securities and customer reporting.

Learn how independent financial advisors operate.

As part of your due diligence, conduct a thorough background check before choosing a financial advisor to manage your investments, retirement or estate planning. After all, you don't want to hand over ...