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.

Christine Carona was called a “bitch” on six to twelve occasions by her former boss, who also made derogatory comments about her personal life in front of UBS employees, according to the September 30 ruling.

The good old days of charging 1% solely for a portfolio of mutual funds are officially over, and that's good news for the right type of advisor, says First Ascent Asset Management's Scott MacKillop.

Chris Benda will join the firm that was founded eight decades ago to address the financial services needs of farmers and ranchers, and now serves clients in 14 Western and Midwestern states.