Industry

As the result of background checks of all 87,000 CFPs, the group is now investigating 1,240 of them for possible misconduct.

The president of Wells Fargo’s independent unit, Kent Christian, details the firm's recruiting amid the pandemic.

The Department of Labor has proposed a new rule that would require more analysis and documentation around ESG investments in private retirement plans.

Creative Planning CEO Peter Mallouk opened up recently on his latest acquisition, where it fit, the firm's approach to M&A, and plans to re-up on his TV marketing strategy.

Cary Street will merge with Waypoint Advisors, creating a combined firm with $4 billion in client assets.

He may face insurmountable hurdles to winning Senate confirmation for the U.S. attorney post.

The Court ruled 8-1 in Liu vs. the Securities and Exchange Commission that the practice was allowable provided that the fees did not exceed the "wrongdoer's net profits," according to a majority opinion written by Justice Sonia Sotomayor.

The regulatory agency for broker/dealers has changed language to make clear that its rule would not apply to recommendations covered by the SEC's rule, which will be implemented on June 30.

Nearly 40% of LPL’s training program participants have been children of advisors, so the IBD is evolving the offering accordingly.