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A widow alleged that an imprisoned ex-financial advisor’s enterprise pursued “a malicious campaign” against her after she fell victim to his scheme.

Nearly half of advisors are optimistic about expanding the services they offer clients in the coming years.

The $2.6 billion Miami firm is the largest independent advisor yet to take advantage of the U.S. territory’s incentives.

Here's what happened over the last week in wealth management.

The FINRA order includes allegations relating to the LJM Preservation & Growth Fund, another product sold in large numbers by the industry.

Teams are taking longer to switch brokerages as the pandemic recedes and advisors return to the office, according to John Pierce, the firm’s head recruiter.

A FINRA arbitration panel awarded former clients of First Allied Securities the full damages they requested in the case.

In the U.S., almost all the high-quality neon needed to make computer chips comes from Russia and Ukraine, according to Moody’s.

Harry Sherdil took his practice independent last year with an ambitious goal stemming from his powerful personal story.

Barred ex-broker Louis Cook allegedly targeted older adults whose assets he promised to protect for long-term care.