Industry

Edward Jones has lost an effort to prove a terminated advisor was soliciting clients in breach of his employment contract.

The Securities and Exchange Commission is seeking to bar Reginald Middleton from offering digital securities.

The NCAA has agreed to let student-athletes receive money for endorsements—but, without a playbook, this could turn out to be a major league problem.

The window of opportunity for these upstarts is now closing.

Younger advisors may be social media natives, but a recent survey finds experienced advisors are more apt to use the platforms.

The full-page ads ran in the Wall Street Journal, the Dallas Morning News and others under the headline, “You Heard Their Story. Now Hear Ours,” and included a group photo and testimonials.

Clients opened 142,000 new trading accounts in October, bringing total brokerage accounts to 12.2 million.

Bluespring Wealth Partners, the RIA acquisition arm of Kestra Financial, has bought Vector Wealth Management, a $1.1 billion RIA out of Minneapolis.