End run

In the wake of another nixing of a high-profile settlement by the courts, the SEC has come up with a new game plan. The agency is now asking Congress for the authority to settle enforcement actions in-house.
DEC 02, 2011

Latest News

SEC bars NY advisor who allegedly defrauded elderly client of $2.4 million
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Cerity Partners adds Bay Area, Minneapolis firms in latest double-deal
Cerity Partners adds Bay Area, Minneapolis firms in latest double-deal

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AI financial advice lifts demand for human advisors, says Vanguard

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Which technology providers stood out in 2026?

See which platforms and providers earned 5-Star recognition this year

Advisor moves: $1.3B advisor team joins Wells Fargo FiNet practice in Ohio
Advisor moves: $1.3B advisor team joins Wells Fargo FiNet practice in Ohio

Meanwhile, a multigenerational Cambridge team has hopped to LPL in Michigan, and Cetera's run of Commonwealth recruitment continues in New Jersey.

SPONSORED In the Age of AI, Trust Becomes the Advisor's Greatest Asset

As AI makes financial information more accessible than ever, Lana Hock explains why human judgment, trust, and empathy remain the qualities clients value most in a financial advisor

SPONSORED Direct indexing webinar targets tax-loss harvesting amid market swings

Northern Trust’s Ken Lassner shows advisors how to convert volatility into after-tax portfolio gains