"Clients come first for us, and we want to make sure that they're getting the service that they need," says Ekoniak.
Nine out of the 11 firms charged by the federal regulator have agreed to pay civil penalties related to Form 13F and Form 13H violations.
Total client losses of $89 million "wiped a lot of people out,” says lawyer.
It’s been a year of C-suite maneuvering at Carson Group, but CEO Burt White says the firm is now ready to build on his predecessor’s famous legacy.
The independent wealth player is adding a foothold in the East Coast with the boutique advisory team in New York.
The deal for Atlanta, Georgia-based CornerCap balances the $26.2B RIA's objectives of national expansion and maintaining local boutique experiences.
The firm has reportedly named two executives to align the two units in a bid to grow assets and land deal opportunities.
The broker-dealer giant's new 43,000-square foot home office in Tempe will serve as a base to support even more advisors.
The trio of professionals joining Raymond James Financial Services in the mountain state come with experience from LPL and Zion Bank.
Wealth firm acquires women-owned personal financial and lifestyle concierge firm.
Report shows a rise in listings nationwide too last month.
Markets are desperate to discover the size of the cut.
Soft landing expectation is fueling optimism among fund managers.
Report warns that firms are at risk from physical disruptions.
Firm's dealmaking continued as protestors staked out its offices.
Advisor panel packs a punch as thousands of wealth management professionals hit the beach at Future Proof Festival in Southern California.
Creating greater and more efficient touch points with clients is key for advisors, says Snowden Lane EVP.
Edward Jones research reveals caregiving duties and being the family CFO has left two-thirds financially off-balance.
Charged with murder, Anthony Turner's trial was scheduled to begin Monday.
The company will shut off access to accounts by third parties that use client credentials to log in, the firm said.
