Credit Suisse dismissed a Zurich-based banker who forged documentation on an over-the-counter contract for an African wealth management client, which led to an $11 million loss.

The former NBA player opens up about how his financial advisor helped him get past his gambling problem and divest 16 cars.

A New Jersey resident is seeking damages from Envestnet and Yodlee, with allegations of unsecured data and 'unlawful collection and use of sensitive personal data from millions of consumers.'

A U.S. District Court judge sentenced Sean Donald Premock to 10 years in prison for defrauding his elderly and family member clients out of their life savings.

The program includes dozens of third-party tools available to the firm's advisors at discounted prices.

Hightower continues its acquisition streak, taking a stake in Waltham, Mass.-based Argent Wealth Management, an RIA with $1.7 billion.

The former head of Pershing's custody business is back, this time serving as a board member for $20 billion family office Pathstone.

David C. Coggins, the owner of Coral Gables Asset Management, allegedly defrauded investors by misrepresenting the performance of a private fund, according to a complaint filed by the SEC.

Michigan-based Baldwin Capital Management and Langdon Capital Management join LPL from Voya Financial, while Chicago-based Nestlehut Financial Services moves to Cetera Advisors from Securities Service Network.