Staff report

The regional giant reported $2.2 trillion in client assets last year, despite seeing its net new flows decline.

Regulators have handed down more than $3 billion in penalties over employees' alleged failures to record business-related messages sent on services like WhatsApp.

Two brokers had sought an unspecified amount that they argued they were owed from when they worked at the Wall Street giant before departing for rival firms.

Edward Jones stood accused of not properly supervising advisors who were charging clients commissions for mutual funds and then moving the fund shares over to fee-generating accounts.

The law will increase benefits for millions of retirees, but it's still not clear where the added funds will come from.

Nicholas Takahashi stood accused of taking confidential information when he left for Raymond James last summer. But a federal judge said she saw no convincing evidence of illicit dealings.

The fast-moving RIA aggregator has been undergoing an internal reorganization since 2023 in a bid to consolidate the many firms it has scooped up over the years.

FINRA charges restitution but forgoes punitive fines for the three firms after crediting them for cooperating in its investigation.

A 20-plus-year veteran replaces Manish Dave, who left the post in October.

A former wealth manager contends she was unfairly denied disability payments after fibromyalgia and other health complaints forced her to stop working in 2022.