Editorial Staff

FPA helps kill a sales tax bill, an NBA player’s former assistant gets jail time, UBS drops its appeal and pays a former compliance officer $14.1 million, and more.

Kestra grabs an RIA, LPL takes on advisors from Stifel and Morgan Stanley, record M&A transactions, and more.

Missed opportunities for wealth transfers, an unregistered advisor charged with fraud, preventing elder abuse, and a FINRA expulsion, among other wealth management news this week.

Raymond James, Ameriprise, Stifel, LPL and Creative Planning added advisors or made acquisitions this week.

Carson Group adds an executive, the SEC proposes SPAC rules, FINRA is looking for advisory committee members and more.

Mercer, Creative Planning and others made acquisitions. LPL, Ameriprise and Sanctuary, among others, added teams to their ranks.

Here's what happened over the last week in wealth management.

Here's what happened over the last week in wealth management.

Floyd’s slaying led to industry leaders promising to prioritize matters of diversity, equity and inclusion. Here’s how far some of those promises have gone.

Here's what happened over the last week in wealth management.