Erick Bergquist

The SEC alleged that by putting investors in higher-cost share classes, for which it was compensated, Cetera’s corporate RIA received about $5 million more in 12b-1 fees than if it had put clients in lower-fee share...

The regulator says Cambridge Capital Group Advisors defrauded 20 investors, most of whom were retired NFL players who claimed brain injuries from concussions suffered while playing professional football.

Erik Davidson, former chief investment officer at Wells Fargo’s private bank, is joining Inspire Investing, a 'biblically responsible' investment firm, as chief economic advisor.

The SEC on Tuesday charged Philadelphia investment advisor Brenda A. Smith with defrauding investors of over $100 million.

Bluespring, the RIA acquisition arm of Kestra Financial, revealed Tuesday that it has acquired Believeland.

A Mercatus working paper supports the need for title reform, but it argues that regulators should take a different tack to prevent professionals from making up new titles.

Motty Mizrahi was charged with defrauding over 40 investors, many from the Jewish community in Los Angeles.

Newly launched Bluespring Wealth Partners, the succession planning arm of Kestra Financial, has acquired Hickory Asset Management, with $153 million in client assets.