The commission’s Standards of Conduct Implementation Committee urged advisors and firms to be concise when writing their relationship summaries and to avoid unnecessary legal jargon.

The new Texas-based Specialty Asset Management Division will help the RIA manage the oil and gas-rich real estate interests of its clients.

The deal paves the way for Private Advisor Group to offer some form of equity to its advisors, says CEO RJ Moore.

Merrill Lynch Wealth Management has named Lindsay Hans and Chandler Root to division executive roles.

The Securities and Exchange Commission and Commodity Futures Trading Commission imposed unusually stiff penalties on the firm and its subsidiaries for record-keeping violations.

Morgan Stanley CEO James Gorman recently changed his tune regarding a return to the office.

Advisor Anthony David has created his own practice, Adalan Private Wealth, and aligned with Concurrent Advisors, a super OSJ of Raymond James Financial Services.

Paul Ricky Mata, who held online seminars called 'Finances God's Way,' fleeced the elderly and churchgoers, according to the Justice Department.

Gabe Rissman, president of YourStake, provides his take on November’s top ESG news items and research findings that advisors need to know.