The bank filed a petition asking a federal court to overturn the award to James D. Garrity, who worked for Credit Suisse for 15 years before joining Morgan Stanley in 2015. 

Our tech columnist adds context and history to some private equity news, plus his take on a robo's demise and AcreTrader's latest accolade.

Despite talk of RIA M&A slowing, the industry announced a bevy of new deals this week, transacting almost $19 billion in client assets.

The commission charged Kevin Kane and Sean Michael Kane for defrauding clients after they were fired from Waddell & Reed by telling them they left voluntarily.

Ohio-based Clearstead Advisors, a private equity-backed RIA with $28 billion in client assets, has purchased a second trust business.

The regulator’s update to its targeted sweep of firms’ dealings with social media influencers offered suggestions that may be difficult for broker/dealers to fulfill, according to one securities attorney.

New York-based Ritholtz Wealth Management will take over the direct-to-consumer robo business from FutureAdvisor.

Financial advisor John Poulos was fired from Vanguard and stripped of his CFP designation after being arrested for a homicide near Bogota, Colombia. He was caught in Panama on his way to Turkey, according to reports.