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.

PNC Private Bank's ranks will be bolstered by either placing staff in new markets through the recently completed acquisition of BBVA's U.S. business or expanding its existing footprint.

Ice Capital Management joined LPL’s broker/dealer and corporate RIA.