Rogert Zullo defrauded clients, lied to supervisors and fabricated client information, according to a complaint.

Trump or no Trump, the fiduciary tide has turned.

Say goodbye, for now, to the adjustment of the private foundation excise tax.

Art Lipson targets closed-end funds that he says betray investors. He also created the bond market’s most widely used benchmark.

The financial services firm is hoping to appeal to small and mid-sized broker/dealers disenfranchised by larger, more expensive clearing firms, as well as wealth management firms that do business internationally.

FINRA found that Merrill Lynch didn't adequately enforce policies that govern how clients can use securities-backed loans.

Integrated Financial Partners, a Waltham, Mass.-based OSJ with 135 financial advisors and $4 billion in brokerage and advisory assets, has joined LPL.

Women are scarce in the fund industry, pre-retirees care about legacy but not wealth, and Raymond James adds advisors from LPL and Merrill Lynch.

FINRA names its education foundation award after Rick Ketchum, Wall Street eyes 20K and retirees are taking hipster jobs.