For the second time, a three-judge panel ruled against the state attorneys general of New York, California and Oregon to intervene in the case against the DOL fiduciary rule.

OSJs need to show they provide value to advisors who would otherwise remain self-supervising.

The ranks of women billionaires are growing faster than men, Focus adds a team of former Merrill advisors and Securian Financial launches its first national ad campaign.

The organization will conduct a search of public records within 15 days of a new U4 filing, helping member firms fulfill a regulatory requirement.

John Sauter was said to be fired in February over decades-old case.

A new record for a bottle of whisky sold at auction, Advizr launches its Workplace product and Janney adds at $2 billion team from Nashville.

Venu Krishnamurthy started at the money manager April 30.

Morgan Stanley’s wealth management division flagged troublesome transactions in the lawyer’s personal accounts, according to a published report.