Industry

Tower 68 is LPL's 11th team to come through its premium affiliation model for wirehouse and regional broker breakaways.

FINRA said this week it would be examining 'account supervision' and 'communications' and would include self-directed accounts as well as those where reps made recommendations.

Commonwealth Advisory Group expands Mariner Wealth Advisors' Pennsylvania presence and focus on professional athletes and entrepreneurs.

Alight went public in July through a merger with Foley Trasimene Acquisition Corp.

Budros, Ruhlin & Roe, which has $3.4 billion in client assets, is the fifth CI Financial acquisition to come out of the 'Blind Squirrels' study group.

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.