Court Refuses to Vacate $133M Arbitration Award Against Stifel
By Dinah Wisenberg BrinThe FINRA award was tied to former financial advisor Chuck Roberts.
March 25, 2026
11 Predictions for Advisor Movement in 2026Diamond Consultants expects at least one big-name acquisition this year.
March 25, 2026
Franklin Templeton Debuts ETFs That Trade in Crypto Wallets 24/7The initiative is aimed at a growing class of investors who have no interaction with traditional brokerages.
March 24, 2026
Victory Capital Pulls Janus Henderson Offer, Ending Bidding WarThe move comes after Trian Fund Management and General Catalyst raised their offer to $52 a share.
March 24, 2026
Mercer Preps Over 10,000 Tax ReturnsThe RIA doubled its tax team last year via M&As to 120 tax professionals, expanding its filing capacity.
March 24, 2026
CFP Board Forms Panel to Study Bachelor's Degree RequirementThe planner group announced changes to its education requirements in January.
March 24, 2026
Robo-Advisor Ally Invest to Pay $500K Over ConflictsThe breaches of fiduciary duty were associated with Ally Invest's Cash-Enhanced accounts, the SEC finds.
March 24, 2026
Hightower Reports Data BreachThe unauthorized access to the firm's systems affected more than 131,400 people.