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Mehta's focus in emerging markets has also provided the chance to learn how to overcome the hesitancy some investors may have toward overseas opportunities.

Firm relaunches as Aretec – Cetera spelled backward; new owners are undisclosed.

Careful steps need to be taken so FINRA won't consider it an outside business activity, says compliance expert Alan Foxman.

The case centered on the supervision of a now-barred broker, whose misconduct included encouraging athletes to invest in a Miami Beach nightclub and sending baskets of tequila to pro sports teams, according to FINRA.

The latest deal with heavyweights including Eaton Vance challenges industry predictions that robos would die off.

Life after the working years may offer the time needed for lots of leisure activities, but many people aren’t prepared to pay for it.

Funds built with these tax-advantaged bonds resulted in strong returns in recent years – and even no fees in a few cases.

Are you using a robo adviser with clients? Be prepared to understand the inner workings of your digital tools, says Hardeep Walia, CEO of Motif Investing.

The elderly have called with technology issues, needing assistance with poorly understood account statements and to report scams. The calls also have helped the regulator identify mistakes and instances of abuse.