The SEC Chair said there’s inherent conflicts in using algorithms that optimize advisors’ profits and revenues during a conversation at SIFMA’s Public Policy Meeting.

The Pacific Legal Foundation, which has a record for arguing against “government overreach” before the Supreme Court, is representing Frank Black in the latest case challenging FINRA's Constitutionality.

Advisor Robert Moon, who managed $500 million at Merrill Lynch’s Private Banking and Investment Group, joins Rockefeller's Global Family Office.

Ohio is leading the way in attempting to properly arm advisors for a fight that’s already underway, whether they realize it or not.

Christopher Fineburg and Teresa Armel have left Rockefeller Global Family Office, which has become one of the most sought-after options for UHNW advisors, to join Next Capital Management.

Former rep Sidney Lebental is citing FINRA’s legal sparring match with Alpine Securities to halt disciplinary proceedings against him. Meanwhile, FINRA has responded to Alpine’s allegations.

Allworth’s outgoing CEO Scott Hanson discusses the future of the firm, the custodial landscape and why it was important to find a CEO who was not only well-liked, but who had experience creating value.

Morgan Stanley announced last week that Ted Pick will succeed James Gorman as CEO.

The commission accused Julie Anne Darrah of a multi-year scheme targeting elderly female advisory clients spanning from before and after her firm joined Wealth Enhancement Group.