The SEC chair said the regulator is more inclined to hold the interests of the investing public above others.

The bank filed a petition asking a federal court to overturn the award to James D. Garrity, who worked for Credit Suisse for 15 years before joining Morgan Stanley in 2015. 

Our tech columnist adds context and history to some private equity news, plus his take on a robo's demise and AcreTrader's latest accolade.

Despite talk of RIA M&A slowing, the industry announced a bevy of new deals this week, transacting almost $19 billion in client assets.

The commission charged Kevin Kane and Sean Michael Kane for defrauding clients after they were fired from Waddell & Reed by telling them they left voluntarily.

Falcon, with more than $500 million in assets under management, has made its first acquisition as the firm considers taking on a capital partner.

Ohio-based Clearstead Advisors, a private equity-backed RIA with $28 billion in client assets, has purchased a second trust business.