News

The three advisors at the San Diego–based Nautica Wealth Advisors had all previously been affiliated with the independent broker/dealer and are reconnecting with the company from Cetera.

The deal marries S&P, one of the most famous names in financial markets, with a research company that supplies forecasts to most of the world’s biggest companies as well as pricing for bonds and credit default swaps.

Advisor Craig Rumbaugh led clients into investments that turned out to be a Ponzi scheme and failed to disclose his commissions.

The CFP Board has suspended financial advisor Timothy Hanna's right to use its CFP certification marks pending further investigation and possible disciplinary hearings.

The states are the two latest to create their own regulations based off the model passed by the National Association of Insurance Commissioners earlier this year.

The Office of the Comptroller of the Currency found the bank had deficient risk-management practices and lacked appropriate checks on conflicts of interest.

The combination of FWM Holdings and Stanhope Capital Group creates a $24.2 billion wealth manager.

But it may be too late to stop an incoming Biden administration from placing a stay on it.