Summit Brokerage Services will pay more than $550,000 in restitutions to clients who suffered losses, according to the FINRA action.

An Introduction to Independence: Five Key Podcast Episodes to Jumpstart Your Knowledgebase

PacNorth Retirement Group is joining the IBD from Raymond James and cited its integrated platform as an important part of the decision.

The state is offering a retirement account option designed to provide a retirement solution for millions of its residents.

The Massachusetts-based advisor recommended his clients invest with Aequitas, but failed to disclose a loan he took out from the Lake Oswego, Ore.–based alternative investments firm that made a bad bet on student loans, according to an SEC claim.

The decision is another step towards getting class-action certification.

There's a foreboding sense that's there's always more bad news coming from Frankfurt.

The acquisition of John D. Dovich & Associates, a Cincinnati-based RIA with nearly $600 million in client assets, brings MAI Capital Management closer to becoming a national firm.

Despite thousands of jobs potentially on the chopping block at the bank, the firm is focused on "stable sources" of revenue, and likely to hire in the wealth management portion of the business.