UBS Faces Squeeze as Swiss Regulator Proposes Tighter Capital Rules ...

A Houston-based registered investment advisory firm and two of its financial advisors are on the hook for millions of dollars over allegations that they caused a customer to miss out on huge gains in ...

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.

Though most wealthy investors prefer fee-based financial planning to a commission-based approach or a no-fee platform, wealth management firms should still ensure they can meet the needs of investors ...

A bogus investment advisor charged five years ago with fleecing investors out of millions of dollars in a Ponzi scheme has been sentenced to three years in prison.

Envestnet has unveiled two new artificial-intelligence tools for financial advisors that the company says will help them operate more efficiently.

The Securities and Exchange Commission 's Investor Advisory Committee on Thursday voted to recommend new rules regarding the regulation of pre-dispute arbitration clauses used by registered investment ...