William D. King, CEO of ABA Accountants, has also been temporarily barred by the SEC for selling penny stocks without disclosing his fees.

The lapses in record retention, fingerprinting and failing to oversee the drafting of consolidated reports led to 1.5 million costumer communications being deleted and a former rep running a Ponzi scheme, FINRA claimed.

Veteran Scott Kays' $800 million fee-only firm is on the larger side for the acquisitive Mercer, suggesting the national RIA may start looking at more mid-sized targets.

His family discovered thousands of Post-it notes with potential deals and financial commitments all over the walls at his Park City, Utah, mansion.

Longtime employee Dustin Lucien, the former head of engineering who was most recently listed as the firm's COO, has left Betterment.

The retirement-focused RIA's partnership with a PE firm follows a similar deal between Captrust Financial Advisors and GTCR last June.

Anthony DeChellis joined Boston Private to jump start its floundering wealth business. But he and the board are "grossly" undervaluing the bank in agreeing to a $900 million sale, a major shareholder says, arguing the firm should curtail its "pie...

The former TDAI executive spent the last days of 2020 studying for his CFP exam and taking a hard look at the regulatory landscape that faces financial planners in 2021.

JPMorgan Chase is in preliminary talks with China Merchants Bank Co. to set up an entity, expanding on a strategic partnership on products in 2019,