Andrew Ober has worked in the industry for over 40 years, including a multi-decade stint at Merrill Lynch. He’s joining Raymond James' independent advisor channel.
Mike Durbin says innovations in generative artificial intelligence are progressing at the same rate among consumers and institutions, while Sanctuary Wealth CEO Adam Malamed is worried about granting it decision...
Over a matter of weeks, Mariner was hit with multiple lawsuits from rival advisory firms, including Edelman Financial Engines, Avantax and RWA Wealth Partners, claiming the firm's hyper-aggressive growth tactics step...
The Institute will again take the Labor Department to court if it does not withdraw or “substantially improve” the rule governing advisors to retirement accounts, according to CEO Dale Brown.
Molly Nelson is suing her former employer Avantax in Montana federal court, claiming the restrictive covenants she signed would make it impossible to work in the industry.
The bank filed its complaint against Nader Joseph Al-Mooshi, arguing that so far the advisor’s convinced about 64 households with $40 million in assets to leave J.P. Morgan and join Kestra Financial.
Helen Grace Caldwell faces 20 years in prison after being charged with wire fraud in a scheme that allegedly stole $1.5 million from clients, according to the Justice Department.
The brokerage app sued Commonwealth Secretary William Galvin, arguing against the validity of Massachusetts’ fiduciary standard. The state’s highest court ruled in favor of Galvin.
Mariner asked a federal court to pause Edelman Financial Engines' trade-secret lawsuit during an ongoing arbitration process. Edelman says that would only let Mariner continue raiding its advisors and clients "with...