Eric Erb was ordered to pay restitution of $5.4 million to his defrauded clients.
Developed by Entreda, the platform will ensure every computer and mobile device is secure when accessing client data.
Kara Murphy never thought she'd end up on Wall Street — or be in one of the World Trade Center towers attacked on 9/11.
Dynasty Enterprise Group will focus on updating large-firm infrastructure.
SEC offers favorable settlement terms through Monday to investment advisers who acknowledge they didn't use the lower-fee option available in a fund.
$1B+ fee-only RIAs ranked by year-over-year growth in total assets.
A consistent priority during Securities and Exchange Commission exams is looking at disclosure of conflicts of interest.
Advisers should consider the challenges they may face when retiring, as many find this transition to be harder than they anticipated
Pershing executive said broker-dealer model has some "challenging dimensions" to it.
Fidelity report: Money flows in through the largest RIA consolidators and trickles down to create savvier advisory firms.
Fintech company is partnering with Josh Brown and MarketCounsel to help advisers go independent.
Blake Pokley is the first college graduate hired by LJPR Financial Advisers in 10 years.
Following Capitol Hill testimony, top regulator declines to say whether he will extend comment deadline on proposed reform package.
Agency says deVere USA and two former managers failed to disclose conflicts
Addition of San Diego-based firm brings EP's AUM to $4 billion.
'We're trying to build an online digital marketplace,' says founder Keith Gregg.
She joins the roster of the few female C-suite executives in the financial advice space
Pinnacle Private Wealth switches B-D and hybrid RIA platforms.
The $100 million stock offering will fine-tune RIA valuations.
