Industry

According to the commission, Westchester, N.Y.-based advisor Evarist C. Amah misled clients about how their $700,000 in investments fared.

A Morgan Stanley survey found that 72% of the firm’s 120 interns in Europe favor flexible working, while 66% of their 341 counterparts in North America want to.

Only 42% of applicants passed Level III in May and June, the lowest ever for the exam, which has been administered since 1963.

In the wake of Blucora’s second quarter earnings results last week, RIA and shareholder Ancora is calling for the company to sell off its TaxAct unit.

PNC Private Bank's ranks will be bolstered by either placing staff in new markets through the recently completed acquisition of BBVA's U.S. business or expanding its existing footprint.

Ice Capital Management joined LPL’s broker/dealer and corporate RIA.

Unlike other roles in financial services focused on diversity and employee wellbeing, Shareen Luze’s new position at RBC Wealth Management sits within the business.

The advisor moves, mergers and acquisitions you may have missed over the week ending Aug. 6.

Across an industry that was already split on returning to work, policies are diverging more than ever.