Big banks are bolstering their private-banking efforts amid growing competition from boutiques and some high-level defections. The latest being Citigroup hiring two advisors from U.S. Trust.

Millennials especially see the recent tax reform as beneficial, Benjamin F. Edwards added eight advisors and Fidelity invested in a bike-sharing startup.

In the pipeline is $3.6 billion in AUM from advisory businesses intending to join Carson Group Partners.

Justin Tuck went from the NFL to Goldman Sachs, Complect adds Kevin Keefe to its advisory board and Mike Duffy leaves Merrill Lynch and finds Happiness Wealth Management with LPL.

Why did the SEC choose the road less traveled?

Investors pay attention to executives’ tones, Hedgeable founders seek partners on a blockchain financial system and fish farm scam revealed.

The regulator will begin conducting reviews within 15 days after a firm applies to register an individual with FINRA, something that was previously done annually.

Simplifying 401(k) plan choices doesn’t help enrollment, new apps help Latinos boost financial literacy and 994 Group launches using the Kolbe Concept.

A Georgia court ruling states that the Broker Protocol doesn't absolve brokers of the duty to give advance notice before leaving.