Merchant Investment Management's minority investment in the $1.2 billion in AUM firm is meant to propel growth, Baldwin Brothers CEO says.

The SEC claimed that Hughe Duwayne Graham, Donald Lee Howard and Larry Louis Matyas collectively made more than $920,000 in commissions for soliciting investors about purchasing stock in U.S. Lighting Group.

An RBC advisor weighs in on how serving her country helped prepare her to best serve her clients.

The deal with Stavis & Cohen Financial, which has about $570 million in assets, will bring CI Financial's total U.S. assets to about $13 billion, and its North American assets will total $59 billion.

Terrence Chalk used the alias 'Dr. Terrence Cash' to keep clients from learning about his criminal record and convinced retirees to invest their savings, which he used for his own expenses, according to the SEC.

Lou Pelliccioni, who spent 17 years with Wells Fargo Advisors, is joining LPL Financial with his son Brice and daughter-in-law Amanda.

The newly established Herold & Lantern Investments will include more than 60 professionals in offices in New York, New Jersey, Texas and California.

The division will begin hosting online seminars on financial investment education and wealth literacy, and will bolster partnerships with historically Black colleges and universities (HBCUs).

Confluence Wealth Management, led by Kathleen Kee, gives Buckingham Strategic Wealth another foothold in the Pacific Northwest.