Drew DiMarino joins Riskalyze as EVP of sales.

The two new initiatives were premiered for Ladenburg's five IAB subsidiaries at the firm's inaugural national conference.

Leon Vaccarelli told clients he would invest their money in interest-earning investments; instead he used it to make tuition and mortgage payments and pay off other investors.

Embracing a broader range of non-English speakers and upping staff are at the top of the agenda, but enforcement remains paramount, Rettig says.

Through Merchant Investment Management, RIAs that custody with Fidelity will have access to discounted private loans to use for acquisitions. It's a "game changer," said Fidelity's David Canter.

Enrique Vasquez will serve as president of wealth management, which includes Blucora's HD Vest and 1st Global businesses.

Despite the comprehensive due diligence parameters of an industrywide security organization, human error is still the weakest link.

Only a small percentage of SEC-registered advisors use the language the agency approved Wednesday in describing their fiduciary duties, and those advisors are more likely to offer conflicted advice, according to a study by Commissioner Robert...