The judge overseeing the sentencing of Anthony Diaz said he showed little remorse during his Jan. 2020 jury trial.

During Clayton's tenure as SEC chair, regulators determined Bitcoin and Ether weren’t securities, removing an overhang that could have impeded trading and acceptance of those tokens.

After more than three decades in practice, Ron Davidson, who broke down barriers as one of the first Black independent financial advisors, found his successor with the help of LPL’s diversity and inclusion initiative. He retires on April 1.

A succinct summary of mergers, acquisitions and movement in wealth management for the week ending March 26.

Michael Barry Carter pleaded guilty last July to fraud for making unauthorized fund transfers out of client accounts.

Over the next five years, JPMorgan will partner with various historically black colleges and universities to offer students resources and information about careers in wealth management.

The Morgan Stanley–recommended law firm that represented the transitioning advisors told them their nonsolicit agreements with Schwab were unenforceable, according to their lawsuit against the lawyers.