RIAs

George L. Taylor and Temenos Advisory violated their fiduciary duty by pocketing commissions and concealing conflicts while the firm was in financial distress, the commission charges.

The IPO price was lowered, but long-term performance is considered key.

Compensation related to financial advisor recruiting fell 22% for the second quarter.

Wealth Enhancement Group would grow to nearly 70 advisors nationwide under its second major purchase of the year.

Banking scandals are playing only a small role in advisor attrition, the firm says.

At Amazon's first-ever conference for voice-enabled tech, advisors are warned they need to take one crucial step to serve customers using voice assistants.

Advisors should be scrutinizing vendors to find partners who share similar organizational values.

The strategic buyer, one of the industry's largest, snags a $1B RIA for its first deal of the year.

When do promotional materials rise to the level of an official “recommendation” and thereby require additional disclosures by brokers?

Jack Brod, the chair-elect of the board of directors, plans to heighten enforcement efforts to ensure CFPs are consistently acting as fiduciaries.