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Chairman Gary Gensler draws attention to high-profile cases over WhatsApp and other messenger communications as well as the need for crypto regulation.

The firm's total advisor headcount holds steady while its assets under management swell to $816 billion.

In rare move, passed-up Saperstein to stay on as head of wealth and asset management.

Financial planning careers pay well and offer great prospects, but many students still don't know they exist.

Saperstein, the president of the big bank's star wealth unit, to be head of wealth and investment management.

The firm's bottom line took a one-time hit from legal expenses even as it recruited advisors and added to its assets.

A new report by the investor advocate bar finds most brokers seeking purges of past customer complaints go unchallenged by securities watchdogs and aggrieved clients.

Beneficiaries and retirement account owners born in 1951 in particular may be in luck.

CEO Dan Arnold said on the firm's last earnings call that the tools were "receiving positive early feedback and demand in the marketplace."

The late actor's estate fell short in a five-year quest involving the distribution of a hedge fund position when his financial advisor left UBS for Merrill Lynch.

Thomas Brenner joins his accomplices Perry 'King Perry' Santillo and Christopher Parris in receiving prison sentences for defrauding investors.

Columbia Wealth Advisors consists of roughly 50 advisors and other professionals affiliated with a large regional bank.

The registered investment advisory firm aggregator is seeking a replacement CEO after going private in August.

The number of wealthy Asian Americans is growing. But most RIAs courting them are missing a key approach, according to one firm that is doing it differently.

The top executive at BNY Mellon's custody and clearing subsidiary sets his sights on enabling advisors to spend less time doing mundane tasks in the "swivel chair" and more working with clients.

The nine-person team specializes in working with ultrahigh net worth clients, including private equity partners and company executives.

Regulators promise to pay special attention to how firms are using technology to not only guide investments but also to protect client data.

The former United Capital is losing out on new leads from one of the major sources while folding into a firm known for tapping into the former TD program.

The mega bank predicts the traditional investing strategy will outperform both cash and inflation in the next 10 years.

Avantax's parent had sued two firms owned by its future buyer and one of its major branches prior to the agreement to go private in a billion-dollar acquisition.