The SEC settled charges against Milton Dosal Jr., arguing that he raised nearly $100,000 from about 41 investors claiming he could trade stocks on their behalf despite not being a registered broker.

Commonwealth shows off its new logo and new website design.

Flourish Cash allow advisors to use a cash management account for portfolios and held-away cash and to help clients with budgeting goals. 

Leverty Financial Group, a newly formed RIA boasting $400 million in AUM, is the second team recruited from Northwestern Mutual in less than a year.

CI Financial finished acquiring its fifth U.S. firm as it continues its global expansion.

David Poole is joining Citi, after working at E*Trade and Bank of America Merrill Lynch.

The investing intelligence firm is adding information from thousands of Separately Managed Accounts.

In two years, Robertson Stephens has doubled its assets under management and attracted Raj Bhattacharyya to be its CEO.

After an 18-month search, SGC Financial and Insurance Services will join LPL from Securian Financial.

Bank of America CEO Brian Moynihan told investors at the Barclays Global Financial Services Conference Tuesday that third quarter revenues at Merrill Lynch and Bank of America Private Bank will be 'strong' due to increased client assets.