Industry

The list includes 20 CFPs with bankruptcies dating back to March 2009; none are subject to disciplinary action.

Personal Capital's business model is rooted in technology -- but with live advisors and higher fees, the firm wants to duck the "robo" label.

Advisor Jo Ellen Fisher, who allegedly stole nearly $1 million from a 95-year-old client, is barred from the industry and has been sued by her former employer.

A former Morgan Stanley advisor must pay the firm nearly $200,000 in owed bonuses, FINRA ruled.

Mohamed El-Erian, who quit Pacific Investment Management in January amid reports of clashes with Bill Gross, said he was surprised by the events surrounding the departure of the star bond manager last week.

Mohamed El-Erian, who quit Pacific Investment Management in January amid reports of clashes with Bill Gross, said he was surprised by the events surrounding the departure of the star bond manager last week.

Charles Schwab removed Pacific Investment Management from its target-date retirement funds after the departure of Pimco co-founder Bill Gross.

As advisors look to mergers and acquisitions to fuel growth strategies and succession plans, firms need to look beyond the transaction itself and think strategically about how a combined firm will operate, experts said this week at the FSI's financial advisor summit.

Halé Behzadi will oversee the bank's offices in Beverly Hills, Los Angeles, Orange County, Palo Alto, Phoenix, San Francisco and Seattle.

Wealthfront can become the "leader in a new emerging market" if it focuses on millennials the way Charles Schwab zeroed in on Baby Boomers, says CEO Adam Nash.