Erick Bergquist

As trading commissions can fall no further, analysts see consolidation on the horizon for the discount brokers and RIA custodians. Will TD Ameritrade buy E*Trade? Who will buy TD Ameritrade?

UBS has made a sustainable high-yield bond fund available to clients in the U.S.

A California RIA and its owner have agreed to a judgment of over $1 million in connection with a cherry-picking scheme.

Wilmington Trust has launched a new brand, Wilmington Investment Management.

Sigma's corporate RIA recommended higher-priced mutual fund share classes that charged 12b-1 fees, the SEC alleges.

The former Cetera Financial CEO is now operating a mortgage REIT, but not on a full-time basis.

Virginia's State Corporation Commission's ban on advisors using mandatory arbitration clauses in advisory contracts went into effect this week, but the rule is likely unenforceable.