A former Wells Fargo executive has asked an appeals court to throw out the $10 million fine she was ordered to pay in the wake of the bank's 2016 bogus-account scandal.

Raymond James announced that Trustmark National Bank has selected the Raymond James platform to support the bank's $2.7 billion financial planning and advisory business, Trustmark Financial Services.

LPL Financial has appointed industry veteran Tara Thompson Popernik executive vice president and head of wealth planning, a newly created role, a firm spokesperson confirmed Wednesday. Stifel ...

LPL Financial has appointed industry veteran Tara Thompson Popernik executive vice president and head of wealth planning, a newly created role, a firm spokesperson confirmed Wednesday. Stifel ...

LPL Financial has appointed industry veteran Tara Thompson Popernik executive vice president and head of wealth planning, a newly created role, a firm spokesperson confirmed Wednesday. Stifel ...

Atria Wealth Solutions, which was acquired by LPL Financial last year, is laying off 55 employees in the Houston area, according to the Houston Chronicle.

A former financial advisor who sold her registered investment advisory firm to Wealth Enhancement Group and then pleaded guilty to stealing more than $2 million from her clients has been sentenced to ...

Lawmakers in the House of Representatives have reintroduced a pair of bills aimed at expanding the definition of "accredited investor" in a bid to give more Americans access to a broader swath of ...

Wells Fargo has agreed to pay $150,000 to resolve allegations that it failed to ensure that registered representatives who left the brokerage no longer had access to confidential customer information.

Charles Schwab says it's rolling out a program for financial advisors with modest books of business who want to go independent, offering operational and technical support to help build and grow their ...

Securities and Exchange Commission Chair Paul Atkins has indicated that the regulator is revisiting its position on private funds investing by closed-end funds as well as on the Consolidated Audit ...

Stifel Financial is challenging a damages award of nearly $133 million issued against it by an arbitration panel the firm says was "infected with fundamental prejudice" by a panelist who had ...