The Securities and Exchange Commission has called into question the eligibility of two cryptocurrency exchange-traded funds offering staking rewards, according to Bloomberg.

The Financial Industry Regulatory Authority has sanctioned a Florida-based broker-dealer over alleged annuities-related violations of the Securities and Exchange Commission 's Regulation Best Interest ...

Financial advisors considering a change of employers may want to check their record before giving notice. Industry professionals say the path to finding a new firm is becoming increasingly difficult ...

This story originally ran on Financial Advisor IQ sister publication FundFire. D.A. Davidson & Co. has lost a pair of financial advisors to Raymond James in Utah.

This story originally ran on Financial Advisor IQ sister publication FundFire.

The Financial Industry Regulatory Authority has suspended and fined a former Osaic Wealth broker accused of improperly handling a bequest from a customer's estate.

The Securities and Exchange Commission said it's charged a former financial advisor in Florida with fleecing dozens of clients, primarily Venezuelan nationals and including Catholic dioceses, out of ...

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.

Cetera Financial Group has named a former Envestnet executive to lead the RIA Blueprint suite of services for registered investment advisors. A trio of financial advisors have left Procyon to found ...

Cetera Financial Group has named a former Envestnet executive to lead the RIA Blueprint suite of services for registered investment advisors. A trio of financial advisors have left Procyon to found ...

The complex terms and aggressive sales tactics often associated with annuities have made many fee-based advisors hesitant to use them, but efforts to simplify messaging about the products and improve ...

Cetera Financial Group has named a former Envestnet executive to lead the RIA Blueprint suite of services for registered investment advisors. A trio of financial advisors have left Procyon to found ...