President and Chief Executive Officer Dan Arnold was found to have violated the firm’s “commitment to a respectful workplace” ...

As the financial services industry undergoes significant changes, financial planners are shifting focus to ensure they can serve more clients across a wider spectrum of services — but planners may not ...

Merrill agreed to a censure and to pay a fine of $2 million, without admitting or denying the findings, Finra said, noting that Merrill corrected and self-reported the issues related to reporting ...

Bridgewise, the startup behind the chatbot, is also pursuing regulatory clearance to launch the bot on a Brazilian trading platform, according to Bloomberg. Financial advisors may have a lot less to ...

Wells Fargo is facing a lawsuit from one of its former financial advisors, who accuses the firm of luring him from Merrill Lynch with false promises and then mishandling his transition to an extent ...

"LPL's Code of Conduct requires every employee, no matter their title, to foster a supportive and professional workplace and show respect to each other, our stakeholders and the broader community," ...