Roughly half of Stifel's revenue growth is likely to come from wealth management this year, according to CEO Ronald Kruszewski.

Nancy Sumption has an extensive background in the public and private sectors, including stints in the U.S. intelligence community and the Department of Justice, according to the SEC.

Ladenburg said its broker/dealers would not be consolidated away, 'reflecting both companies' commitment to a multi-brand network model.'

The deal is expected to close in the next few days, much faster than anticipated.

Insurance regulators overwhelmingly approved revisions to annuities guidelines, aligning them with the SEC's Regulation Best Interest rule.

The latest Reg BI guidance addressed whether clients can 'waive' the rule's protections, whether affiliated firms can submit separate CRS forms, and whether firms have to build entirely new systems and processes to be in compliance.

Santa Clarita, Calif.-based Criterion Wealth Management Insurance Services recommended private real estate funds but failed to disclose 'significant' financial conflicts of interest, the SEC claims.

Dimitri Eliopoulos departed RMB after only eight months as wealth management chief to join Curi Capital as CEO.

Estate of billionaire contends valuable pieces were moved out of the United States.

The Carson Group has made Jamie P. Hopkins, its director of retirement research, managing director of Carson Group Coaching.