The Financial Industry Regulatory Authority has narrowed the qualifications for arbitrators who decide cases in its dispute-resolution forum in a push to improve "the quality of the arbitrators." But ...

Financial advisors who work with athletes, entertainers and other celebrities have to play smart to win clients and work hard to keep them. Collaborating with the rest of a client's support group or ...

Larry Restieri, the former head of Goldman Sachs ' private wealth management subsidiary, Ayco, has taken the reins at Hightower as its chief executive officer, the company said in an announcement on ...

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

Larry Restieri, the former head of Goldman Sachs ' private wealth management subsidiary, Ayco, has taken the reins at Hightower as its chief executive officer, the company said in an announcement on ...

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.

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 ...

John Thiel may have long ago left his role as the head of wealth management at Merrill Lynch, but he is not done thinking about financial advisors.

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.