Lori Love will be Advisor Group's first chief customer experience officer and will focus on improving the firm's offering to advisors.

The SEC has reeled in more than $370 million in settlements over similar claims.

St. Louis-based Syntegra Private Wealth Group, with $459 million in assets, will join Arbor Point, the IBD's second multicustodial corporate RIA.

The partnership between Europe’s largest bank and the world’s biggest asset manager comes as both industries are battling to use technology to increase profits and improve service.

'All of the other firms we interviewed looked the same, acted the same,' said Patrick Simpkins, founder of Proximity Financial Partners.

Calton & Associates has filed for an asset purchase of accounts that choose to come over from Capital Financial Services, which has some compliance baggage.