Sean Allocca

The firm filed a motion arguing one of its ex-brokers did not challenge the proceedings until after the panel ruled against her.

A 34-year old broker with high-net-worth tax specialty signs with Dynasty.

At least 17 individuals invested $13 million in the scheme, and many lost 'substantial portions' of their life savings, prosecutors say.

The funds allegedly paid for summer camp fees and a 1976 Corvette.

The dispute centered on the firm’s handling of Puerto Rican municipal bonds.

Bruce Keebeck Lee has repeatedly been ranked as a top advisor by both Barron’s and The Financial Times, but he was fired in April for a failure to file compliance paperwork.

Hedgeable's decision to cease operating its automated investing platform may say more about the state of fintech funding than the robo business model, an industry observer says.

Investable assets in digital channels are projected to top $4 trillion by 2022, according to research.

The future of wealth management melds technology with a human touch, but firms will face challenges.

The wirehouse has lost at least 123 advisors managing $15.7 billion in client assets year-to-date, according to other firms’ hiring announcements.