Goldman is currently working on a version of Marcus Invest that takes an advisor relationship into account, said Joe Duran, head of Goldman Sachs Personal Financial Management.

The ultra rich are coming to Florida from not only New York, but from California and the Midwest, too.

FINRA claims that James Alan Schumaker allowed his father to continue working with clients, even after he was barred from the industry.

Hightower’s recapitalization brings board changes, including the departure of founder Elliot Weissbluth.

Amanda Thiem claims that former Pimco Chairman Brent Harris made a sexual advance on her in his home and demoted her after she refused. She claims she was then “targeted and ostracized” by co-workers.

Texas-based advisors got pummeled by low winter temperatures, ice, snow and rolling blackouts.

New enforcement head Tom Sporkin and his team now oversee the detection, investigation and prosecution of alleged violations, while another team will handle the adjudication, a move that mirrors the workflow at the SEC and FINRA.