Sean Allocca

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.

Older clients have more assets, but younger investors are leading the digital charge.

DaRayl Davis spent client funds on a luxury mansion, theater tickets and car rentals, federal prosecutors say.

Former San Diego Chargers guard Kris Dielman says the independent broker dealer failed to supervise his former advisor.

Advisors recommended that clients sell positions in complex structured products to rack up fees, says the regulator.

The firm arranged to make transactions differently on the days that it was required to calculate its reserve deposits, the regulator says.