RIAs

FINRA booted Scott Reed from the industry after he went outside his firm to raise money for a software and web development firm.

Align Wealth joined the $250 billion RIA, retirement plan and robo-advisor firm as M&A becomes "a key component" of its growth, the firm's CFO told FP.

The Wall Street giant's private bank contends it had advised the plaintiffs against concentrating their money in risky investments.

Citigroup will pay almost $2 million to settle SEC allegation that two of the bank's brokerages recommended trades to customers without appropriately mailing disclosures to them.

The former employee is accused of shuffling information to two friends.

Financial Planning's staff has compiled 84 songs that we believe speak to the souls of advisors.

It's the latest instance of a wealth management group leaving the Swiss banking giant.

Former SEC lawyers say regulators are now likely going through their cases and deciding which are emergencies worth pursuing even if the agency's staffing is severely reduced.

The appointment comes amid the organization's push for 'title protection' for financial planners.

These 10 firms are driving the ongoing shift in the industry to fiduciary advice and away from sales commissions.