FINRA alleges Wells Fargo failed to properly supervise variable annuity switches.

Critics and supporters of the Labor Department's fiduciary exemption proposal spoke during an all-day virtual session.

Wealth Enhancement Group acquired its third New York office.

Shih is moving into the role of executive chairperson; COO Mike Boese is taking over as CEO.

Creative Planning, the Overland Park, Kan.-based RIA led by CEO Peter Mallouk, announced its biggest acquisition to date Wednesday, $1.6 billion AUM Atlanta RIA TrueWealth.

Matthew Clason cultivated a personal relationship with the client, who considered him 'a good friend.'

Anna Snider, head of due diligence for Merrill Lynch and Bank of America Private Bank, said it is taking a deep dive into diversity and inclusion at the asset managers who offer 3,000 of the investment strategies on its wealth investment platform.

Incoming NASAA President Lisa Hopkins said the expansion of private markets without proper regulation and transparency is a 'potential breeding ground for fraud,' during the organization's virtual annual conference.