John Gallagher and Mark Levin will be aligning with Gladstone Wealth Partners to establish Maverick Partners Wealth Management, which will be based out of Marlton, N.J.

The letters are meant to help CFP professionals meet the duties for providing information to clients as required by the board's Code of Ethics and Standards of Conduct.

The cases against the investment advisory firms marked the first from the Enforcement Division's Exchange-Traded Products Initiative.

VVP CEO Craig Findley has reunited with members of his former UBS team.

Captrust secures its first Colorado location with Shine Wealth Partners acquisition.

Less than a week after its last two acquisition announcements, the Canadian-based firm claims another RIA.

The Investments and Wealth Institute reported 74 scholarships awarded to wealth management professionals of underrepresented backgrounds.

Former CFTC Director Gary Gensler will lead the team charged with examining the SEC, Commodity Futures Trading Commission, the Federal Deposit Insurance Corporation, the Federal Reserve and the National Credit Union Administration.

The analysis from the SEC's Office of Compliance Inspections and Examinations said home offices needed to ensure that policies were communicated and implemented across all branches.