Naseem Mohammed Salamah is charged with stealing nearly $970,000 from three elderly clients and spending the funds on vacations and luxury car leases.

Dallas-based Quest Capital Management’s shareholders and 17 staff members will join Mercer Advisors, in the RIA’s second transaction this week.

Vestwell CEO Aaron Schumm and the firm's chairman of the board, Lori Hardwick, were once competitors. They're now leading the firm's expansion.

David Komansky served as Merrill Lynch CEO from 1996 to 2002, a time in which the wirehouse added to its network of retail brokers in Japan, Canada and Australia, making the firm’s share of revenue from non-U.S. sources higher than at any of its...

A $2 billion AUM wealth management team based in Newport Beach, Calif., joins UBS.

Another billionaire couple heading for splitsville highlights the growing 'gray divorce' trend.

Maryland Securities Commissioner Melanie Senter Lubin succeeds West Virginia Senior Deputy Securities Commissioner Lisa Hopkins.