Former MML rep Keith Gill was posting online as 'Roaring Kitty' about GameStop and other stocks, right under the firm’s nose, according to Massachusetts securities regulators.

Felix Gorovodsky will serve nearly three years in prison for defrauding an elderly woman and using her funds to pay personal expenses, including more than $100,000 in student loans.

Canadian-based CI Financial, which has acquired a total 21 RIAs in the U.S., expects to open the new office in 2023, which will initially house core C-suite executives and personnel.

The SEC chair’s testimony before the Banking, Housing, and Urban Affairs committee also touched on issues like crypto assets and climate risk disclosures for issuers.

The Catholic fraternal service organization will bring its investment strategies to individual retail clients for the first time.

NorthCoast Asset Management is the 10th RIA to join the Connectus consortium, Focus Financial Partners' shared services model.

Platforms like Zanbato, EquityZen and Carta that help sell shares in private companies have exploded in popularity.

The subsidiary of MassMutual Holdings will pay $2.1 million in total for the alleged lapses.

As the advisory business model continues to grow in importance, broker/dealers are increasingly becoming RIA support platforms, competing with firms that have been doing so for many years.