Nine former advisors are suing United Capital over its attempts to move arbitration proceedings from FINRA to another venue, accusing the firm of “pure gamesmanship” and “forum shopping.”

The Investments & Wealth Institute has updated its CIMA certification curriculum and exam for the first time since 2019.

The program has attracted significant inflows from individual investors looking for tax benefits. A contentious Congress might jeopardize its extension.

The Somnio Wealth team in Louisville, Ky., joins LPL after 14 years with Ameriprise.

The brokerage regulator settled two cases related to the SEC’s rule this week; one securities attorney believes FINRA has now established itself as the “primary regulator” of the rule.

Managing Partner and Chief Strategy Officer Burt White will take over for Carson as chief executive of the $35.5 billion AUM RIA.

The new role will partly support 55ip, whose CEO, Paul Gamble, revealed last week that he would step down from that post in September.