FINRA Bars Ex-Edward Jones Rep Accused of Improper Use of Discretion
By Melanie WaddellAlexis Leon Aldaz failed to produce documents in the regulator's investigation.
October 28, 2026
Schwab Announces 'National RIA Day' for 2027The day will be recognized on the National Day Calendar and take place on the third Wednesday in February.
October 28, 2026
LPL Stock Sinks as Commonwealth Retention Falls ShortCEO Rich Steinmeier said the firm is evaluating the addition of platform fees.
October 28, 2026
Fed Holds Rates Steady"While uncertainty remains elevated," Chair Kevin Warsh said, "domestic spending has been resilient."
October 28, 2026
What It Takes to Succeed as an Advisor Now: Schwab's BeattyThe head of Schwab Advisor Services identified three key strengths shared by growing firms.
October 28, 2026
Advyzon Launches Financial Planning SolutionThe cash-flow planning and projection offering, was developed using AI, executive Kevin Hughes says.
October 28, 2026
Jeff Levine: Watch This New Tax Credit in 2027Focus Financial's planning chief also weighs in on underused year-end tax moves and why some advisors shouldn't do tax planning.
October 28, 2026
Schwab Adds AI Tools as Claude for Advisors Goes LiveThe financial services firm says it's the first RIA custodian to bring the Anthropic assistant to independent advisors.