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SmartAsset analyzed the significance of the state-by-state figures on certificants, although some experts say geographic strategies are missing the bigger picture.

Marci Kawski is a partner at Husch Blackwell focused on consumer financial services law.

Stifel follows closely on UBS's heels in getting hit with tens of millions in punitive damages.

Josh Brown, CEO of Ritholtz Wealth Management, invests in the fintech firm and joins its advisory board to help steer the product roadmap.

Ian Cain is the president of the City Council in Quincy, Mass.

Advisors were right not to recommend the decentralized cryptocurrency in the past. They can be right again by recommending it today.

Regulators accused Cambridge Investment Research of directing clients to mutual funds and other investments that generated revenue-sharing payments when cheaper options were available.

Dr. Jason Tibbels is a family physician and the chief medical officer of the specialty care platform Lantern. He is also a member of NCQA and the Texas Medical Board, and he previously served as Chief Medical Officer of Teladoc

High net worth individuals tend to think they can manage investing on their own. Researchers say that's an opportunity for financial advisors.

A federal judge agrees with Merrill that deferred compensation is a bonus used to reward employee loyalty rather than a retirement benefit protected by federal law.