-
At a hearing Tuesday, executives at the Swiss banking giant faced tough questions from both Republicans and Democrats. The lawmakers are unhappy with the bank's recent decision to withhold certain documents from a lawyer who's overseeing research regarding Nazi accounts.
February 3
-
Raymond James tapped industry veteran Mark Buchanan to lead a new ESOP advisory group focused on tax-advantaged succession strategies.
February 3
-
Internal succession planning is messier but aligns with a true fiduciary firm's core values, argues Neela Hummel of Abacus Wealth.
February 3
Abacus Wealth Partners -
The language that financial advisors use in their first interactions with prospective customers could make or break the relationship, according to an expert.
February 3
-
The SEC's decision marks a startling reversal from the full-court press it had mounted against Commonwealth Financial Network in 2019 over alleged failures to disclose conflicts of interest in its brokers' mutual fund recommendations.
February 3
-
In a Q&A interview, Christine Brown explained her plans for the role leading a team of a half dozen specialists assisting Kestra financial advisors.
February 3
-
Relationship management systems are the traditional hub of financial advisors' technology stacks, but new AI tools may supplant them. Here's how advisors on the ground see it.
February 2
-
NewEdge Advisor's recruiting win from Ameriprise is the third recent big win for the New Orleans-based company.
February 2
-
As more financial advisors near retirement without clear succession plans, some RIAs are turning to ESOPs and Section 1042 rollovers to exit on their own terms.
January 30
-
Linda Friedman, who has made a career with Wall Street discrimination and harassment cases, is representing an ex-Citi executive in a bombshell lawsuit this week. Things didn't have to take this turn, she contends.
January 30
