A California federal court judge found Mark Boucher and his company Strategic Wealth Advisor Group Services liable for stealing for more than $2.2 million from clients.

In a world that is evolving rapidly, it can be easy to hang on to misconceptions that may ultimately hinder success.

Focus Financial Partners represents CAIS' first enterprise-level customization at this scale, and CAIS CEO Matt Brown sees this as a jumping off point to working with others going forward.

The proposals would mandate that advisors craft written policies and procedures intended to address cyber risks that could harm clients, according to Chair Gary Gensler.

The year-long coaching program is aimed at giving next-gen advisors tactics for growing clients, assets and revenue.

'The 2022 Report on FINRA’s Examination and Risk Monitoring Program' also looks at firms’ Form CRS compliance and approaches in working with clients via mobile apps.

And should RIAs be looking at DC plans?

James Iannazzo’s tirade in a Fairfield, Conn., smoothie shop was captured on video and viewed by millions. The CFP’s suspension comes after Iannazzo was arrested and charged by Fairfield police, and dropped by Merrill Lynch.

The SEC charged Michael M. Beck for recommending penny stocks to his millions of Twitter followers under the handle '@BigMoneyMike6,' while selling his shares once the prices climbed.