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The cuts are part of Schwab’s “continuing efforts to reduce overlapping or redundant roles across the two firms,” according to a company spokeswoman.

She succeeds former CEO Jeff Auld, who recently announced his retirement, and rounds out a trio of female leaders atop the Advisor Group IBD.

The DOJ and SEC filed parallel actions against Isaiah Goodman, arguing he used investors' funds for personal expenses and made "Ponzi-like payments" to new investors.

For vendors, virtual conferences stink.

DeLynn Zell left the brokerage world in 2008 to launch an RIA that has grown 17% year over year to $2 billion in AUM. "we could sell this firm by Friday," she jokes, but she and her team want to build a legacy business for the next-generation of...

According to the SEC complaint, the defendants would raise funds from clients without investing them, and would often use them to pay for personal expenses.

Jean Hynes discusses active management, private equity and lessons she can offer other women on Wall Street.

The 900 Voya advisors won't have to repaper client accounts, and Cetera will offer some form of transition assistance to retain them.