Sigma's corporate RIA recommended higher-priced mutual fund share classes that charged 12b-1 fees, the SEC alleges.

The Sudol Group manages about $300 million in client assets and primarily works with clients who are 'transitioning to or already in retirement,' according to advisor Mark Sudol.

Over the last two years, Susan Schroeder has been consolidating the regulator's two enforcement groups into one.

The firm said it will have transitioned a dozen teams to its fee-only channel by the end of January.

The digital custody and clearing firm is adding to its leadership ranks.

The former Cetera Financial CEO is now operating a mortgage REIT, but not on a full-time basis.

Annuity Suitability Working Group hopes to complete revisions in the coming months in time for the NAIC's Fall 2019 National Meeting in Austin, Texas.

Fintech providers and RIAs looked into the future and found that data is key to building a better business for advisors during a Wealth Management Industry Awards Technology Roundtable discussion.