The retainer-based fee movement is a growing alternative to the AUM-based model.

The brokerage eliminated commissions on most ETFs long before competitors did; now it's doing the same for stocks and options.

Biotech billionaire Dr. Phillip Frost claims the merger disregards obligations owed to him as a shareholder of certain notes.

The Canadian company will take a majority stake in California-based One Capital, an RIA with $1.6 billion in client assets, its second acquisition of a U.S. RIA in as many months.

In addition to failing to disclose financial incentives to sell insurance products, investment advisor and radio host Keith Springer also paid internet consultants to suppress online mentions of previous SEC complaints, according to the complaint.

Defections from Royal Alliance/Advisor Group bring a coterie of CFP/CPAs to LPL.