Miriam Rozen

The head of the Financial Industry Regulatory Authority’s examination program touted on Monday a slew of changes implemented this year that he said will ensure its exams would “not unnecessarily tax members or Finra resources.”

JPMorgan Chase & Co. appears to have intensified its legal campaign against departing advisors with three lawsuits filed in the past week.

Guy H. Kerr, senior vice president of law and government and board secretary of Belo Corp., knows you can't plan for everything. Over the next few months, he will steer his company through a legal thicket that has grown up around The Dallas Morning News, Belo's subsidiary and its flagship daily newspaper, related to its overstated circulation figures in recent years.

Stifel Financial Chief Executive Ron Kruszewski is unruffled by the buzz that artificial intelligence could replace financial advisors and argued on Wednesday that the industry’s fierce recruiting battles show firms are betting on people, not technology.

A U.S. District Judge in Atlanta rejected Merrill Lynch’s second bid to compel Dynasty Financial Partners to arbitrate a long-running dispute over the wirehouse’s allegations that the RIA service provider raided its Atlanta office.

Guy H. Kerr, senior vice president of law and government and board secretary of Belo Corp., knows you can't plan for everything. Over the next few months, he will steer his company through a legal thicket that has grown up around The Dallas Morning News, Belo's subsidiary and its flagship daily newspaper, related to its overstated circulation figures in recent years.

Investors’ cash sweep litigation continues to weigh on wealth firms’ costs and attention, even though the Securities and Exchange Commission under the Trump administration has concluded its pending probes without meting out punitive fines.

Some of Edward Jones’ 20,400 advisors will soon have to do some financial planning of their own regarding their company stock holdings.

UBS Wealth Management USA’s profits rose as the company said its multi-year strategy reset was paying off even as advisor headcount continued to fall.

LPL Financial, the nation’s largest independent broker-dealer, reported some success in its effort to reinvigorate its advisor recruiting after a years-long lag.