Organization Root Tag

A Dodd-Frank safeguard is playing out behind closed doors for the second consecutive time with the omissions of most details from the GAO's triennial report.

The 10 largest transitions include deals by LPL and Osaic, hybrid RIAs that received private equity infusions and even a new public offering by a SPAC investor.

Critics of mandatory arbitration say it can go against investment advisors' fiduciary duty to always do what's best for clients.

The wireshoue plans to have a s setting up an Ultra-High New Worth Plus unit for clients more than $50 million in assets.

Joanna Rotenberg, recently of Fidelity Investments, will lead Vanguard's newly created advice and wealth management division starting in 2025.

The wirehouse is accused of not doing enough to prevent employees of its Smith Barney unit from making unauthorized transfers.

A 20-plus-year veteran replaces Manish Dave, who left the post in October.

The nominee for head of the Securities and Exchange Commission, Paul Atkins, will pursue a more deregulatory and crypto-friendly approach than Gary Gensler.

Ex-CEO Dan Arnold's deal is estimated to be worth about 15% of what he would have received had he not been fired.

Wealth Enhancement Group is the second large OSJ to go separate ways from LPL, following Merit Financial Advisors