Goldman’s asset- and wealth-management business posted revenue of $3.79 billion, up 18% from a year earlier.

Does the 401(k) and workplace platform offer unique opportunities?

The century-old asset management firm is adding talent and services through a growth strategy predicated primarily on opportunity and trust.

The firms will collectively pay $200,000 to settle the charges, which focused primarily on their use of hypothetical performance.

A cadre of US regulators are scrutinizing the firm’s efforts to prevent potential money laundering by wealthy clients.

Also, former LPL exec Heather Randolph Carter will serve as CMO. The news comes just days after CEO and Founder Ron Carson stepped down.

Strategic Insights Financial Planning Group, a $500 million Texas team, is the second to join from Ameriprise this week.

Nine former advisors are suing United Capital over its attempts to move arbitration proceedings from FINRA to another venue, accusing the firm of “pure gamesmanship” and “forum shopping.”