Principals of Merrill’s Liebman Marks Group have launched Amplius Wealth Advisors, joining the Dynasty Financial Partners network.

President Joe Biden's SEC chair nominee testified before the Senate banking committee on issues, including climate risk disclosures, no-fee trading platforms and 'regulation by enforcement.'

Wealth Enhancement Group’s newest acquisition, North American Management, bolsters its ultra-high-net-worth and trust services.

Christopher Fulco was sentenced to three years in prison after pleading guilty to wire fraud, mail fraud and securities fraud in Montana federal court.

Lane is departing less than six months after taking over the asset management business.

The M&A deal announcements for the week of February 22, 2021.

WWK Investments needed a platform where it could house brokerage and advisory assets after Schwab acquired TD Ameritrade.

In a complaint filed Thursday, Attorney General Xavier Becerra's office said 'AwesomeCalls' gave out stock tips for years to members without being registered at the state or federal level.

Reegan Rae was recently tapped to lead Portland-based, employee-owned RIA Arnerich Massena, an advisor to HNW families and institutions. Leadership diversity is key for clients, she says.

Steven Pagartanis was sentenced to more than 14 years in prison for his role in the scheme, according to the Justice Department. FINRA had previously barred the Long Island–based advisor from the industry.