Bruce Kelly

"These crypto platforms are where broker-dealers were in the 1980s in terms of supervision," said a plaintiff's attorney.

Investors in the Bluerock Total Income + Real Estate Fund should be ready for at least a slight hit once the company begins trading on December 16, according to a filing Monday with the SEC.

"They had to change their name," a business professor told CNBC.com. "Their old name had negative value to it."

“I’m still skeptical about cryptocurrency and Bitcoin,” said one senior industry executive. “What’s underlying it?”

Robert Swagger told clients he was investing their money into a streaming company for faith and family-friendly media projects.

When reached for comment, Blue Owl co-president Craig Packer wrote to InvestmentNews: "The assertion that the merger is currently being considered for revival is false."

Meanwhile, UBS to lay off 58 in New Jersey early next year.

“Advisors are not going to like this, obviously,” sad a senior industry executive.

Priority Financial Group, with an RIA of $3.1 billion in assets, is moving its broker-dealer operations to United Planners' Financial Services of America, an advisor-owned firm.

Wedbush Securities has 500 registered reps in 70 branch offices.

Bradley Heppner allegedly spent more than $40 million to renovate and decorate his Texas mansion.

GWG bond investors have incurred $1 billion in losses, according to the Department of Justice.

"I never thought something like this could happen to us," Kyle Busch said in a statement.

Meanwhile, the New York Post reports giant bank thinking of leaving Switzerland.

The wealth management industry right now is focused on the future of Stifel and its 2,000 highly desirable financial advisors.

The buyer, Equitable, is looking to grow right now.

Cockroach advisors like the warm weather, according to a new study from the Journal of Financial Economics.

Bruce Kelly analyzes new 'bad broker' report and concludes that the states' insurance commissioners need a better brand of bug spray.

The success of the BDC industry is coming at its own expense, one veteran industry executive told InvestmentNews.

Cetera is leaning on Summit Financial and its veteran leader Marshall Leeds to reel in those advisors.