EQIS Holding rounds out its C-suite with the addition of Bob Herrmann, former head of Discovery Data.

Franklin Templeton fired portfolio manager Amy Cooper after an internal investigation. The firm "does not tolerate racism of any kind," it tweeted.

CEO David Solomon stopped by Quarantunes to make a donation, alongside celebrities like John Legend and Ricky Gervais.

Paul Horton Smith Sr. faces criminal charges for allegedly using new investor funds to pay interest and the return of principal to those same investors.

David A. Wismer III was convicted of stalking a teenage girl in 2017; this week he admitted to speaking with her by phone, violating his probation.

“It’s a different company than the one I left," says Timothy O’Connor, who's joining Ameriprise's independent advisor channel.

One advisory firm is already seeing the efficiencies that come from the agreement between fee-payment-processing firm AdvicePay and LPL.

Concurrent acquired Eddy Augsten’s WealthEngage to lead its advisor force in investment and practice management.

Tax-focused advisory Rozovics Group was previously with Cetera Financial Specialists for 17 years.