Where did all the commissions go? With the launch of IBKR Lite, some see a challenge to Robinhood.

The corporate RIA of Cetera’s bank channel failed to disclose solicitation agreements it had with about 350 banks, according to the SEC.

Scalia may need to recuse himself from any decisions regarding the Department of Labor's upcoming fiduciary rule because of his work as lead counsel in the case that vacated the DOL's previous rule.

LourdMurray’s simultaneous deal with Delphi and HighTower may be the way future mergers in the RIA space develop.

In two arbitrations, a panel awarded National Securities and former branch manager Gerald Sharpe approximately $170,000 each, a net gain of just $2,000 for the branch manager.

In a comment letter to the Securities and Exchange Commission, several states argue that expanding the investor pool for private securities may have negative consequences.

More choices and lower pricing can protect your clients’ interests and safeguard your practice.

A California RIA and its owner have agreed to a judgment of over $1 million in connection with a cherry-picking scheme.

The SEC and Massachusetts collaborated on the investigation, which found the co-principals of Strategic Planning Group failed to disclose conflicts of interest.