The judge denied a recent motion related to the civil case against Michael Cole, filed in the wake of his move to Cresset Family Office.

RIA commitments at TCA by E*Trade are growing, says the self-described “champion of RIAs.”

The largest privately held IBD is helping more advisors abandon their FINRA registrations, adding more model portfolios and financial planning tools.

The investment bank’s wealth management unit sees opportunity in Florida, an increasingly popular client destination for its tax advantages and lifestyle.

Hybrid RIAs were traditionally thought of as a pit stop for advisors going independent, but many now see it as a gateway for growth.

Zachary Coburn’s EtherDelta marketplace executed more than 3.6 million orders for certain tokens without registering as a an exchange, the SEC said.

The leader of the merged operation, who is as-of-yet unnamed, will report to John Weiss, head of wealth and investment management.

Replacing the favor, though in limited supply, will be the FAVR—supplanting them or simply better enabling them—among the young and digitally savvy.

The program, Combatting Elder Financial Abuse and Securities Fraud, will focus on the impact of financial fraud and exploitation of seniors.