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Firms who "do nothing" will be in a "precarious position," advisors are warned at a Fidelity conference.

Ex-advisor Dawn Bennett, who allegedly dabbled in voodoo-type witchcraft, was found guilty by a federal jury of defrauding investors.

Still, the bank’s revenue-producing operations are split into four divisions, which are all run by men.

Edward Lee Moody used the stolen proceeds to buy a home and travel to Las Vegas among other destinations.

Those with outflows cost clients more than twice as much.

Enforcement actions against IAs and reps at the state level soar in 2017, according to NASAA report.

The relationship disintegrated because of a dispute about where to best place client trades.

Some have piled into utilities and long-duration Treasury hedges, while others bulked up exposure to rate-sensitive banks and a chunk did a bit of both.

It’s the latest sign the SEC is taking seriously complaints that fees for market data are too high.

LPL slammed the move by the exiting major issuer to cut off trails for advisors in certain existing contracts.

“High-touch” support, technology and firm culture played a part in career changes for seven advisors.

Educators at colleges featured in Financial Planning's annual schools list offer up their favorite titles for young and prospective planners.

When legacy tools only address known risks, firms may be overdue for an upgrade.

Net income increased 31% from a year ago.

Advisor Brian Chilton’s $844,000 arbitration award could herald more losses for the firm.

Investors cheering the firms' knockout third-quarter results may just be setting themselves up for a sucker punch.

Outflows were offset by the firm’s iShares ETF business, which saw net inflows of $33.7 billion in the period.

A bonus introduced earlier this year has helped fuel client acquisition, executives say.

The new platform will support bitcoin and Ether early next year and offer over-the-counter trade execution and order routing.

The practice transitioned in a week in which 15 advisors joined their new firm in three separate moves.