Tax-focused advisory Rozovics Group was previously with Cetera Financial Specialists for 17 years.

Missing life on the conference circuit? A review of a major Microsoft event that went forward during the pandemic could spell out what to expect in the coming months.

Seven Group says it’s enabling advisors to market on their own.

With some exceptions, Reg BI scrutiny will be included in broader firm examinations rather than a sole focus of inquiry, according to one FINRA representative.

A team out of Marlton, N.J., will launch Claritas Financial Partners under LPL's new affiliation model aimed at employee advisors.

Sources say it would make sense for Berthel Fisher to sell, given the low rate environment and its history with high-risk alternatives.

The company failed to stop potential conflicts of interests involving credit rating analysts' engagement with marketing efforts in 2015 and 2016, according to a commission order.

The Foundation for Financial Planning created the fund with a $500,000 matching commitment from the Charles Schwab Foundation.

The SEC says the Pennsylvania RIA Ambassador Advisors and its principals failed to disclose conflicts of interest in mutual fund selections.