The marketing tech CEO has integrated acquisition Advisor Websites, resulting in layoffs, all while expanding a texting platform into the enterprise channel, planning the second Jolt! conference and rolling out the next iteration of his company's...

Retired broker Larry Wasserman discovere a flaw in a key bond issue data point.

Among other changes, the association will add a wealth management specialization, with additional content on client management, investment planning and the duty of care.

John Woods pleaded to one count of wire fraud for a Ponzi scheme that stretched over 10 years, according to the DOJ; the fraud also resulted in Oppenheimer & Co. facing a $35 million fine from FINRA arbitrators.

And why plan sponsors still resist.

De-risking the business is key to ensuring the client is left on financially solid ground post sale.

Merrill is making it easy and efficient for advisors to use video within their existing systems, but RIAs have a temporary advantage at creating human and heart-centered content.