Citigroup is planning to hire hundreds of staff in Charlotte, North Carolina, including in personal banking, and it will invest millions of dollars in a new office in the city, according to news ...

Two Merrill Lynch retail clients will receive a total of nearly $3.7 million from the wirehouse in exchange for relinquishing "unsuitable" private equity investments that allegedly failed to generate ...

LPL Financial announced that it has added a father-son advisor duo from Raymond James, where they had about $450 million in advisory, brokerage and retirement plan assets. Cetera Financial Group has ...

Affluent investors around the world are putting their cash back to work after having much of it sidelined over the past year, and a large share of that money is heading into alternative investments, ...

LPL Financial announced that it has added a father-son advisor duo from Raymond James, where they had about $450 million in advisory, brokerage and retirement plan assets. Cetera Financial Group has ...

The Securities and Exchange Commission has charged a Chicago-based registered investment advisory firm and its chief executive — a one-time Merrill Lynch financial advisor — with overcharging clients ...

UBS is reimbursing certain customers who lost money following President Donald Trump 's vow to impose far-ranging tariffs this spring, according to The Financial Times.

A small change being contemplated at the Securities and Exchange Commission on how it approves exchange-traded funds for listing is set to usher in an era of new fund launches tied to cryptocurrencies ...

A new study suggests that the Wells Fargo bogus-account scandal played into the hands of fintech lenders — negatively impacting not only Wells but also other banks.

The vast majority of financial advisors nearing retirement lack a proper succession plan — and they may be putting their practice in peril as a result, according to a new survey.

A retired National Football League player has sued his former financial advisor, claiming to have lost millions of dollars in a Ponzi scheme allegedly run by the advisor, according to news reports. To ...

An arbitrator has rejected a former Wells Fargo advisor's bid to escape two promissory notes by saying he was forced to quit the wirehouse over its handling of a client's trust.