Consolidators, the most active buyers polled by the consulting firm, believe the M&A market has reached a ceiling.

More than 950 advisors have decided to leave since the deal was announced last year, according to Muriel Consulting. The ...

There's more money in cultivating gamblers than in cultivating investors, the former Berkshire Hathaway CEO lamented.

ThinkAdvisor provides financial advisors, registered investment advisors and wealth managers with comprehensive coverage of ...

Brooke Pilant claimed defamation, intentional misrepresentation and tortious interference. A FINRA arb panel agreed.

The embedded solution intends to streamline how advisors, client associates and support teams access information and complete ...

What You Need To Know Centaurus Financial must pay just over $1.1 million for failing to supervise two reps. Patrick Michael Carroll recommended 88 unsuitable variable annuity exchanges, which caused ...

Atkins said in early May that he had asked agency staff to draft a "broader" e-delivery rule. The SEC's approach, Atkins continued, "will apply across broker-dealers and investment advisors, funds and ...

Christopher Walters, accused by Elizabeth Madden (pictured) of raiding a $20 million legacy trust, now faces criminal charges ...