Advocates like As You Sow, Green America and Americans for Financial Reform gathered more than 18,000 signatures in opposition to an SEC proposal that would make it harder for owners to put petitions on corporate proxies.

Anthony Diaz faces up to 220 years in prison.

One factor driving the rapid rise of M&A in the advisory industry? It’s increasingly the only way to grow a practice into a sustainable business, argued a trio of RIA executives at the recent TDAI conference.

Michael Boardman has 30 years of industry experience and has previously held senior leadership roles at Chase Wealth Management, U.S. Bank and Charles Schwab

The asset manager is attempting to exit its $58 million stake in the digital wealth management platform.

Despite lawsuits filed to block the deal, shareholders of Ladenburg Thalmann voted Thursday to allow Advisor Group to acquire the firm.

Partners with Drinker Biddle also covered Regulation Best Interest preparations and other regulatory topics on their 'Inside the Beltway' audiocast.

Tom Nally tells advisors gathered for the firm’s national conference it’s business as usual, even as the DOJ signals more scrutiny of the proposed acquisition by rival Charles Schwab.