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While representatives of the Institute for Portfolio Alternatives warn of the proposal’s 'chilling effect' on brokers, state regulators are asking why REIT customer complaints remain elevated.

The firm had net new assets of $185 million during the quarter and reported total client assets of $76.5 billion, down from $86 billion a year ago.

On the heels of Q2 earnings report, Focus Financial launched partnership with Community Capital Technology for client lending.

The strongest providers with the best talent, distribution and technology are and will be ones that offer wealth and benefit services to participants.

Eileen Cure was terminated by LPL last summer after accusations of racism against Black job applicants. Now, she's suing the firm for almost $100 million, claiming it stole her clients illegally.

Buoyed by a private equity infusion, The Mather Group reinforced its regional footprint in D.C. and Houston this week.

The attorney and founder of Smart Kx talks about the why behind her startup, among other things.

The SEC staff bulletin detailed instances in which firms may be required to disclose, mitigate and, if necessary, eliminate conflicts of interest to comply with the Regulation Best Interest rule.

Hub International's latest acquisition will continue its Southwest expansion.