Concurrent acquired Eddy Augsten’s WealthEngage to lead its advisor force in investment and practice management.

Initially, most enforcement actions will pertain to infractions the agency would have pursued under the suitability standards regardless, according to FINRA's head of enforcement.

Tax-focused advisory Rozovics Group was previously with Cetera Financial Specialists for 17 years.

Missing life on the conference circuit? A review of a major Microsoft event that went forward during the pandemic could spell out what to expect in the coming months.

Seven Group says it’s enabling advisors to market on their own.

The firm has hired Jon Frojen, who played a big role in United Capital's sale to Goldman Sachs, as CFO.

With some exceptions, Reg BI scrutiny will be included in broader firm examinations rather than a sole focus of inquiry, according to one FINRA representative.