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

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 ...

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 ...