Industry

Should small and midsize RIAs be required to have a succession plan in place for their firms? State securities regulators are asking for input from practitioners as they wrap up the rulemaking process.

The SEC has initiated an administrative proceeding against an advisor who allegedly misappropriated around $2 million of investors' funds in a scheme dating to 2008.

Female executives from U.S. Trust and Goldman Sachs join New York-based Dynasty Financial Partners.

Schorsch makes big changes to the firm's executive team with a new CEO as well as the hiring of longtime LPL exec Bill Dwyer.

Barclays hired Akshaya Bhargava as chief executive officer of its wealth and investment management business to replace Peter Horrell, who stepped down.

Consumer and industry advocates are criticizing FINRA over its alternative to a proposal that would have required recruiting firms to disclose advisor compensation incentives to clients when moving between brokerages.

Wells Fargo landed in hot water for failing to act on indications that a broker traded on insider information.

In which the author takes a pair of popular assessments and finds he’s not as daring as he thought he was.

Brad Bueermann of FP Transitions says you should go with the right fit when buying or selling an advisory business.

Since taking over in 2010, Moynihan has been negotiator-in-chief. Now he faces an equally daunting challenge: nudging the nation’s second-largest bank back to growth.