David A. Wismer III was convicted of stalking a teenage girl in 2017; this week he admitted to speaking with her by phone, violating his probation.

One advisory firm is already seeing the efficiencies that come from the agreement between fee-payment-processing firm AdvicePay and LPL.

Initially, most enforcement actions will pertain to infractions the agency would have pursued under the suitability standards regardless, according to FINRA's head of enforcement.

A team out of Marlton, N.J., will launch Claritas Financial Partners under LPL's new affiliation model aimed at employee advisors.

Advisors Brian Wall and Joe Nastasi are making the move to carry out their business continuity plans.

March and April was the slowest two-month period for RIA deal assets since 2016, Fidelity says.

Winston Wealth Advisors is joining the independent/broker dealer from Securities America.

JFC Financial Services made the move in response to Advisor Group’s acquisition of Ladenburg Thalmann, the former parent of Securities America.

We can’t let this virus hinder us from further elevating the profession and advocating on federal and state policies that could influence the trajectory of the field, says Martin Seay, FPA president.