Like many others across the country, financial advisors and firms have raced to become accustomed to a new way of working. Many offices are now empty, with many firms working entirely with clients, and colleagues, remotely.

Advisors who set up accounts to ensure their clients’ heirs received money on a particular date might have found those plans undermined by their own broker-dealers.

Compliance supervisors at Merrill Lynch Wealth Management wrapped up a review this week that may send brokers scurrying to contact advisory account customers or risk having them moved to other parts of Bank of America.

A Nevada investor’s recent victory against her former Wells Fargo broker highlights the efforts by some states to enact tougher investor protections.

Eldorado Resorts Inc.’s $17.3 billion proposal to acquire Caesars Entertainment Corp. won’t close until sometime next year, subject to regulatory approvals — but analysts are already assessing how two competing sportsbook operators will fare.

Nearly a decade after getting authority from Congress and a divided vote, the Securities and Exchange Commission (SEC) finalized new rules for financial advice.

Advisors could soon offer clients access to opportunity zone funds, a hot new investment.

An RIA — with a CEO who also served as chief compliance officer — failed to detect a co-founder’s seven-year-long alleged theft until he had taken $6 million from his firm, partly by overbilling clients, according to the SEC.