Justin L. Mack

Federal authorities say Raymond A. Erker ran a Ponzi scheme that defrauded 54 people, but he maintained he did nothing wrong while on the stand.

The Future Proof Festival has announced eight new featured speakers who buck the status quo.

The SEC says Marguerite Cassandra Toroian waited to allocate stock purchases to herself, her family or clients once she knew if the purchases were winners or losers.

Joseph Orazio DeGregorio convinced his victims to invest in promissory notes and companies that never even existed.

Revenue sharing, wrap accounts and advisor compensation are at the core of the case filed this week in federal court.

Throughout Black History Month, Financial Planning has covered how the industry continues to confront its diversity issues while acknowledging all of the work that still needs to be done.

A new study finds that race did not play a significant role in how much consumers trust advisors. But gender was a different story.

Eight RIA acquisitions and two minority investments added $49 billion in client assets to the Toronto-based firm’s U.S. platform in Q4.

With a focus on growth and improving advisor satisfaction, Blucora’s wealth management arm saw Q4 improvements

Nearing her first year anniversary at the firm, CEO Natalie Wolfsen said the company’s success wouldn’t be possible without the advisors who power it

Focus Financial Partners saw revenue climb more than 32% in 2021, powered by a flurry of deals and higher wealth management fees.

The “Metrics That Matter” report is a compilation of five articles written by industry pros and academics covering best practices when incorporating metrics into DEI work.

In the first full year with the rules, the regulator found multiple areas where firms are missing the mark.

After two stints as a rep for Charles Schwab, Russell Joseph Mutter started a Ponzi scheme that ran for nearly a decade in his home county.

Nonprofit research organization the Croatan Institute group brought fixed income pros together to talk about the power of investing to support systemic change.

Officials said when he could no longer keep his investment fraud running, Scott Nicholson admitted to his clients that their money was gone and their investment was worthless.

Furman Alexander Ford, who once jumped his fence to avoid federal agents, will head back to trial in May for a separate criminal case involving Medicare fraud.

Jeffrey Santulan and his company, Safeguard Metals, are facing enforcement actions by the SEC, the Commodity Futures Trading Commission and 27 state securities regulators.

September's Future Proof Festival in Huntington Beach, California, will be the first in-person gathering for Onyx Advisor Network.

Growth among Black and Hispanic CFPs saw double-digit percentage gains in 2021. But overall representation remains stagnant year-over-year.