The sentencing of Jay B. Ledford comes several weeks after his co-conspirator was sentenced to 22 years in prison, with both also ordered to recoup victims' losses.

The announcement follows the acquisition of Wealth Enhancement Group by TA Associates and represents a boost of the firm's New York presence.

In addition to the rollout of the nationalized standards to select chapters, the FPA addressed controversy surrounding its new president-elect and said it is debating whether to file an amicus brief alongside a current lawsuit to stop the...

An analysis by Zoe Financial looks at the effect 'unbundling' has had on the financial services industry, and cites Northeastern Professor Nicole Boyson's research on the conflicts dually registered RIAs face.

The firm has hired Jefferies to explore options to sell the entire firm, sources say.

According to Secretary of the Commonwealth William Galvin, the broker made an excessive number of trades in order to boost commission fees while blaming account rebalancing and market performance.

Allworth Financial announced Tuesday that it has acquired RAA, a Dallas-based RIA with $2.8 billion in assets.

HighTower's fourth acquisition this year is the West Coast-based RIA Schultz Collins.

The acquisition of NorthView Asset Management is another step in an active year for Sanctuary Wealth, which has added $3 billion in managed assets since June.