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A FINRA arbitration panel ordered Eileen Cure to pay back recruiting-loan debt and more after she was let over a "no Blacks" order she sent to her staff.

Nearly half of advisors polled said they use the AI tools in their practice. But the experts behind the survey estimated that the number is already much higher.

Journey Strategic Wealth President Penny Phillips said advisors who broke off from wirehouses and large brokerages are now returning to big firms. The winners will be partners who can welcome them without compromising their independence.

The latest victory in court for Jayne W. Di Vincenzo over Devin J. Garofalo may have finally ended the saga.

Since President Trump took office in his second term, the expert panel advising the Department of Labor on ERISA matters has stopped meeting, and officials have not explained why.

PE money eviscerates an RIA's client-first culture, leading to advisor burnout and turnover.

The 13-person Stonegate Investment Group is joining NewEdge's Pillar Channel, which is for advisors who want to work as direct employees.

In a sternly written footnote, federal Judge Steven Merryday said the SEC's refusal to release information on its penalty calculations appears to "countenance duplicity, gamesmanship, neglect, insouciance" or worse.

Panelists said advisory firms should take urgent steps to get ahead of regulatory examinations focusing on AI use.

There's "no free lunch investing in private assets," the research firm said in its latest study of semiliquid assets — released a week before Blue Owl permanently shut the gate of a closely watched private credit fund.