The SEC claims Ronald Frank Stevenson and Jason P. Wootten unlawfully sold securities in EquiAlt, which has been accused of operating a $170 million Ponzi scheme.

Cynthia Hewitt shares her story of struggling as one of the only female advisors in the industry in the 1970s, and what prompted her to return after two years in retirement.

Kestra is looking for better ways to prevent trust assets from going out the door, with the help of its in-house trust company, Arden.

Scottsdale, Ariz.-based Progressive Financial Concepts joins Wealth Consulting Group, an office of supervisory jurisdiction of LPL Financial.

In the latest salvo, Blucora criticized Ancora's slate of board nominees, saying the firm deserves directors built on 'merit, experience and talent,' not 'prior business relationships.'