The firms, ranging from broker/dealers and dual registrants to affiliated investment advisors, include Interactive Brokers, Nuveen Securities and Baird, among others, and are similar to 2022 charges against Wall Street firms resulting in $1.1...

Congress completes first acquisition since CI Financial sold its stake to Audax, two Indiana firms merge to create $750 million AUM Wellington Wealth, a 10-person team leaves Ameriprise for OneSeven and NewEdge Wealth adds to Bay Area office.

As the RIA space has become more professionalized, so has the organizational design of top firms.

The accusations against five of the firm’s reps arrives several months after FINRA barred the firm from the industry for numerous alleged violations, including against the SEC's Regulation Best Interest rule.

Former broker Megurditch Patatian allegedly recommended 81 purchases totaling more than $7.8 million of the high-risk product over the course of several years, according to regulators.

Patrick “Pat” Ricketts and Mindy Helfrich of Vintage Financial Group have more than four decades of total industry experience and have worked together for more than 10 years.

Paul Brahim will take over as president-elect from Claudia Cypher Kane, who is succeeding current President James Lee on Jan. 1.

Family offices are relying more on salary increases and incentive compensation to compete for talent, according to a new survey by Morgan Stanley’s Single Family Office Advisory group.