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.

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.

The wealth management platform of the future can manage client finances without having to interact with advisors, says Wealthfront CEO Andy Rachleff.

Some of the proceeds went to commission a song with the lyrics: “Pop champagne in L.A., New York to Florida; buy another bottle just to spray it all over ya,” says the SEC.

The client, who was the co-founder of the HSN, suffered from dementia and was declared legally incompetent, according to a FINRA letter of acceptance, waiver and consent.

The move is an early indication of how firms may react to the demise of the Labor Department regulation.

The regulator obtained an emergency asset freeze against the advisor.