Hester Peirce and Caroline Crenshaw appeared before a remote hearing of the Senate Committee on Banking, Housing, and Urban Affairs to discuss their concerns and ambitions for the commission's future.

At least six former staffers say they can’t share their experiences because of the strict conditions in their exit pacts with the firm.

Rodney Branch, a former executive at Prudential and Athene USA, will lead Luma's marketing efforts as chief marketing officer.

Dave DeVoe, founder of San Francisco-based research outfit and investment bank DeVoe & Co., indicates RIA M&A continues to steamroll ahead, despite dropoff from smaller players.

Over the span of 12 years, Michael Barry Carter transferred about $6 million from brokerage and elderly investment advisory clients into his own bank account, the SEC claims.

Emily Schlosser leaves Goldman Sachs to join BNY Mellon Pershing as its new COO, succeeding Jim Crowley, who was promoted to CEO a year ago.

Ross promises to use 'dope graphics' and jargon-free language in a video series he hopes will be integrated into classroom curricula across the country.

The Massachusetts commonwealth secretary’s Securities Division charged former NEXT Financial Group representative Charles Kulch with stuffing client accounts full of the high-risk, high-commission investments.

Advisors Larry Durso, his son Michael and Michael Lombardi have partnered with Dynasty Financial Partners to launch their own RIA.