The commission claims Joshua Coleman raised more than $200 million in loans, opening multiple lines of credit and using clients’ funds without permission.

Key highlights for RIAs and their clients.

Having brought its version of financial planning to Canada in late 2020, the firm is preparing to enter the U.S. and U.K. markets.

Steward's multicustodial model is resonating with new teams in the Southeast region.

Dave Dase, head of franchise relationships, will take over for Duran, who will still work with the firm on a new coordinated effort to bring Goldman’s capabilities across divisions to the RIA community.

Mario Rivero pleaded guilty in New Jersey federal court to charges of wire fraud and securities fraud.

Preparing to celebrate its 50th anniversary this year, MAI Capital Management has grown by at least 170% since 2017 while maintaining an impressive level of client service, adding capabilities and developing a strong acquisition model.

United Advisor Group, which launches with $750 million in AUM, wants Goldman's full suite of integrated wealth management services, including alternative investments and asset-backed lending.

The IBD reported a slowdown in recruited assets in 2022, although its traditional independent advisor channel had a strong quarter.

Raymond James systematically 'targeted all the employees' at a Wells Fargo office in Arkansas, according to an arbitration award from FINRA.