Speaking at the eMoney conference with President of Fidelity Institutional Michael Durbin, Fidelity's billionaire chairman said her firm, which does not sell order flow, can compete on better trade execution.

The two financial advisors with I.M. Wealth Care claimed LPL's tech options, including its ClientWorks platform, made it a logical partner.

The 82-year-old views a wealth tax as an innovation-killer, and therefore a capitalism killer. "It's a negative reward for success."

The state of Michigan and Philadelphia Board of Pensions have severed their ties to the embattled money manager.

Robert Shapiro received the maximum sentence for running a scheme that caused more than 7,000 retirees and other investors to lose money.

The amended complaint follows an action filed in Denver in late August, charging Cetera with breaking its fiduciary duty to clients.

A new report by the arbitration attorneys’ group points to continued abuses of FINRA’s expungement process; the group calls for an independent investigation into the latest issues.

Other customers are also evaluating relationships with Fisher.