Lantern Investments Chief Compliance Officer Wendy Lanton will help represent small firms on the regulatory agency's board of governors, while Securities America's Jim Nagengast will continue to represent larger firms.

For years, banks and funds have talked about the benefits of bringing in a wider set of perspectives, but the data show they’re still falling short.

Transferring clients' assets from mutual fund and annuity platforms to a broker/dealer's is highly disruptive, involving burdensome new account documents, lengthy processing delays and, frequently, significant incremental costs.

Bialke Financial Partners has joined Financial Resources Group Investment Services, one of LPL’s large offices of supervisory jurisdiction, and the team will operate as the investment arm of American Bank of the North.

Morgan Stanley's Global Sports & Entertainment group was designated as an Institutional Financial Advisor participant for the NFLPA.

Gold Family Wealth says the partnership with Carson will help it to improve the client experience, offer more investment options and lower fees.

The SEC claims that Jack Brewer, a former investment advisor, sold shares of penny stock COPsync, a company he consulted for, knowing the stock price would fall.

Dynasty Financial Partners CEO and founder Shirl Penney on why the pandemic has been a boon to wirehouse breakaways, how his firm is working with Envestnet and Mariner Wealth Advisors, and what it means for the network to reach the $50B AUM mark.