Practice Management

Prosecutors argued DaRayl Davis preyed on fellow church members and friends, defrauding at least 25 investors over a period of 15 years.

Ahead of a Thursday hearing that will feature U.S. Securities and Exchange Commission Chairman Gary Gensler, the House Financial Services Committee posted six draft bills on its website, ranging from banning payments for orderflow to tightening...

Which schools offer the highest-quality, interactive and affordable online financial planning courses for those pursuing the CFP certification.

What do the ever-evolving recruiting practices telegraph to advisors about the ideal candidates and overall hiring strategy of the firms?

Daniel Rivera was sentenced to more than six years in prison for defrauding investors, many of them elderly.

Daryl Bank faces a maximum sentence of 300 years in prison after a jury in Virginia federal court found him guilty of defrauding investors, many of whom were retirees.

The lines between traditional broker/dealer and RIA are getting blurrier.

In a letter to the firm that administers the protocol, J.P. Morgan specified that its participation does not extend to its branch-based advisors, some of whom they are charging in court with soliciting former clients.