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Elias Herbert Hafen, “every client’s worst nightmare,” could face years in jail. The wirehouse says it is repaying clients.

Interest in acquiring advisory firms appears to be at an all-time high.

The firm’s new additions include three brokers previously affiliated with Wells Fargo Advisors.

Even though many of its members weren’t satisfied by the SEC’s rule, NASAA praises the inclusion of a requirement to consider costs in a recommendation.

It’s the latest victory for brokers fighting to reclaim pay withheld by a former employer.

“What we’re trying to build here is something that stands the test of time,” says Todd Boehly.

Those leaving the workforce before 65 need more cost-effective places to live.

Sounds simple in theory, but when it comes to naming an RIA there are plenty of options to consider.

Investment in technology and data management is becoming increasingly critical to distribution, and to managing regulation, reporting and operations.

Following a plea agreement, Bradley Mascho is sentenced for his role in defrauding investors of more than $20 million.

The fund has returned 54.5% on its investments this year through August, fueling a 48% gain for shares of Pershing Square Holdings.

“We are looking at those issues about consolidation as one part of the equation,” Chief Executive Officer Sergio Ermotti said.

The agency's goal of trying to recover client losses allows advisors accused of fraud to decide who'll manage their clients’ remaining assets.

Underestimating their needs, many make decisions that are suboptimal or worse.

Barriers to adoption for RIAs include security concerns and fear of increased client anxiety.

Buyers compete fiercely for available firms even as they assert pricing is not out of hand.

Asset manager Millburn Ridgefield is banking on artificial intelligence as it moves further away from its 1970s-era tradition in trend following.

The IBD trade group launched a public campaign after more than 80 cases this year alleging inadequate disclosure of mutual fund fees and compensation.

Age discrimination, unpredictable life shocks and involuntary retirement casts serious doubt on the “work longer” thesis.

Over a nine-year period, he allegedly defrauded clients of more than $2.1 million.