The SEC claims that Jack Brewer, a former investment advisor, sold shares of penny stock COPsync, a company he consulted for, knowing the stock price would fall.
The direct-to-consumer HSA provider partnered with Devenir to give consumers access to automated investing features.
San Diego-based advisors Scott Dudley and David McQuade align with Financial Advocates, one of LPL Financial’s largest offices of supervisory jurisdiction.
The money will help fund the CFP-registered financial planning programs at four historically Black colleges and universities.
The TD Ameritrade trading platforms and educational tools are the first announced technology move in Schwab's acquisition.
Mercer has added Summit Wealth Advisors, a Frisco, Colo.-based RIA with $130 million in client assets.
CI Financial takes full ownership of Balasa Dinverno Foltz, its largest RIA transaction to date. The Canadian firm has built an $11 billion wealth management business in just six months.
The ETF sponsor has tapped advisor Tyrone Ross as CEO of Onramp, its new alternative investment platform.