President Donald Trump 's nominee to serve as the head of the Department of Labor 's retirement unit told lawmakers that he would drastically change tack if confirmed.

A Financial Industry Regulatory Authority arbitration panel has ruled in favor of Ameriprise Financial in a claim the company brought against one of its veteran advisors who left to found his own ...

A version of this story ran Friday as breaking news on Financial Advisor IQ.

LPL Financial has lifted a team of financial advisors from L.M. Kohn & Co. An LPL Financial advisor has left the firm after 11 years to join Raymond James.

A Santa Fe, New Mexico–based registered investment advisory firm and its owner are in hot water over alleged failures to keep their fees below 2% of their clients' assets under management, as they had ...