Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Ameriprise Affiliate Defamed Departing Advisor in Mass Email, Lawsuit Says
By Dinah Wisenberg BrinThe email left Armando Merino's clients "concerned" and "horrified," he alleges.
July 11, 2025
When a Client's Child Gets Married, It's Time to TalkPlanning around the happy day presents an opportunity to include adult children in the advisor-client relationship.
July 10, 2025
Merrill Ordered to Pay Clients Nearly $3.7M Over PE Investments“This is the largest FINRA customer award against Merrill Lynch this decade," the clients' lawyer said.
July 09, 2025
Ex-Merrill Advisor Accused of Stealing Nearly $2.6M From Retired Miami DolphinIsaiah T. Williams Jr. was arrested and released on a $1 million bond.
July 09, 2025
Jefferies Advisor in Miami Barred by FINRAThe former wealth advisor refused to provide the regulator with information it had requested.
July 08, 2025
12 States With the Most Potential AUM per AdvisorSeven states have more than $100 million in prospective assets available per advisor, SmartAsset reported.
June 26, 2025
Training Program for New Advisors Tops 2,000Amplified Planning’s 2025 Externship program has 2,078 enrollees; over 42% are women.
June 25, 2025
Ex-Advisor Gets 8 Years for Bilking Clients, Widowed AuntScott Mason of Pennsylvania had pleaded guilty to misappropriating $17 million.