Diana Britton

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

“Clients don’t leave because of price, they leave because of service,” says PriceMetrix’s Patrick Kennedy.

Two House Republicans questioned the Securities and Exchange Commission's success rate of administrative law judges, but enforcement officials argue that the path is similar to federal court.

Teams from Oakmont Partners and Strategic Asset Management Group are joining Peter Raimondi to create Dakota Wealth Management.

White CFP professionals blame the reluctance of people of color to join the profession for the lack of diversity; black CFPs blame the firms.

Advisors looking to bring in Generation X and millennial clients are finding different pricing structures—not the traditional AUM model—that resonates with prospects, according to a new TD Ameritrade Institutional...

Representative Tom MacArthur (R-N.J.) introduced the Securities Fraud Act of 2018 in February, which would give “exclusive federal jurisdiction over civil securities fraud actions.” State regulators are not happy.