While it will still represent the firm’s commitment to the fiduciary model, HighTower’s refreshed branding will focus more on its community of advisors and the holistic wellness of the end clients they serve.

The SEC's Office of Compliance Inspections and Examinations released a report cataloguing observations and best practices on cybersecurity measures found during examinations.

Shawn Wooden believes Associated Financial Consultants and Investor Services will be a 'championship team' in the financial services industry.

The four largest national brokerages dropped advisor head count by over 1,000 brokers during the past year, according to the most recent round of earnings reports, as each tries to bring advisory services to new types of clients.

The investment research provider believes the revised approach will help investors and advisors find funds most likely to perform well in up and down markets.

Brian Simms, an advisor at Brendanwood Brokerage, allegedly urged Donna Wagner to invest payouts from a life insurance policy, according to RTV6.

Former CEO John Stumpf agreed to a $17.5 million penalty and an industry ban.

Integrity Wealth Management will have access to custody and clearing services through SA Stone's parent company, INTL FCStone.