Sean Allocca

Other states are likely to enter similar agreements with the broker-dealer.

Cory Redding couldn't retire after the 2014 season and played another year to recoup some of his losses.

One of the arbitrators on the three-member panel should have been disqualified, according to the petition.

Robert Dekas claimed the firm breached its fiduciary duty by executing trades in unsuitable investments, says the regulator.

As firms position their advisors to compete for future clients, diverging strategies have developed.

The advisory firm left Securities America to make the move.

“It’s incredibly important to have diversity. Period,” says Kara Murphy.

The fraudulent investments advertised guaranteed returns of up to 8% annually, the regulator says.

Howard Price III used the funds to make purchases at clubs, bars and restaurants, say regulators.

Growing up in a house full of doctors, Mihir Patel was expected to follow in his family’s footsteps. He didn’t.

Fulvio Urbinati’s book of business includes clients in Chile and Peru, the U.S. and France.

The regional broker-dealer posted record revenue for the eighth year in a row.

The ability for consumers to access and share data in one place could transform financial advice.

Investment advisors and broker dealers have different “relationship models” with clients, the chairman says.

How technology could continue to disrupt financial planning.

“If you’re not given an avenue to prove yourself, then effort and skill set will only go so far,” Shannon Saccocia says.

There's no reason that today's millennial-friendly microinvesting apps can't switch focus from spare change to real assets, industry executives warn.

The moves come as the employee-owned firm posted record revenues.

Former advisor Paul Marshall's prison term "will be little solace to the dozen victims who lost their life savings due to his greed and callous concern for their well-being,” the FBI says.

Clients thought they were investing in real estate developments that would be flipped for profit.