As RIA custodians Schwab and TD Ameritrade come together, advisors want to know what to expect.

We are living in an era of radical new financial concepts, and cookie-cutter regulation only reduces choices by investors, businesses and intermediaries.

SEC Chair Gary Gensler told securities lawyers on Wednesday that his agency would continue to pursue violations wherever and however they occur.

CapWealth went up against an SEC staff of eight attorneys, jury experts and two paralegals, and won a rare victory related to share class disclosure conflicts.'This is David and Goliath,' the firm's founder said.

The move allows the company to focus solely on the wealth management business; Blucora stock climbed 9% on the news.

Mark D. Cunningham said he joined with the RIA after seeking out a potential partner that would 'anchor on financial planning.'

Toussaint Bailey is the founder and CEO at Uplifting Capital.