Financial advisors must be vigilant in educating their clients about the risks present in stock and bond markets.

The two firms used to be affiliated through the same back-office provider, CapTrust Association. The merger creates a firm with $243 billion in client assets and 34 offices nationwide.

Find out the value of your firm online, Angelo Alleca sentenced in fraud scheme and Hightower adds a team in Georgia.

A bank-based broker takes Citizens Bank to arbitration for failing to meet some lofty recruitment promises, and wins $1.5 million. Now others are making similar claims against the bank.

Assets under management at the fund have declined 13 percent from their peak last September.

Wine mogul Peter Deutsch lost his claim for compensation from the brokerage of accused mishandling of his account.

Goldco releases a Bitcoin IRA, Ernest Romer III is accused of defrauding clients, and SIFMA redesigns its website to avoid "bottomless silos of information."

Steven Peiken, the new co-head of enforcment, held as much as $9 million worth of stock and William Hinman, the SEC's director of corporate finance, represented big banks and technology companies.