A progress report released Monday identified five areas of study.

John Piccarreto was convicted for his role in defrauding approximately 400 investors out of about $18 million, according to the DOJ.

The deal with Castle Asset Management represents Miracle Mile’s first East Coast office and brings its total assets under management to $3 billion.

The new location will be the firm’s first office outside of the Atlanta metropolitan area, and will be led by two new managing directors who previously managed more than $1.5 billion in assets.

Jesse Brookreson and Brian Trymbiski will be joining Raymond James from Wells Fargo under the name Great Oak Investment Management of Raymond James.

Despite Reg BI's implementation, many broker/dealers continue to operate as they did under the suitability standard, according to a new NASAA report. But the group is advocating additional guidance in lieu of amendments to the SEC’s rule.

As the firm's strong pace of M&A activity continues, Focus Financial Partners rolls out trust services to its partner firms, which "will create a significant opportunity for our partners, advisors, to expand and retain multi-generational client...

Advisor Emlen Miles-Mattingly had some encouraging words for young financial professionals from diverse backgrounds: 'You can make it in this career,' he said, speaking at the Diversitas symposium.

Sweet Financial Partners, with offices in Fairmont and Jackson, Minn., is joining from Raymond James.