Practice

The combination of technology and rising client interest in digital assets are ratcheting up the risks to investors, according to NASAA.

Federal authorities say ex-PNC advisor Tara M. Brunst acted as a recruiter in a scheme that defrauded 54 people.

The boutique institution has 25 financial advisors, but it’s seeking to grow even larger through a deal with Summit Financial and Merchant Investment.

The wirehouse reached an agreement with an SEC-appointed receiver and a state regulator in connection with a massive EB-5 investment scheme.

Office workers who don’t comply by Jan. 14 will be placed on unpaid leave and fired at the end of the month.

After the unprecedented success of shareholder votes last year, activists are renewing their pressure on giant fund firms over racial equity.

The paper from University of Oregon researchers posits a tension between profit motives and ethical business practices.

Upon assuming the role at the start of 2022, Elliott became the first Black person to ever lead the organization. But the veteran advisor says she’s just getting started.

A College for Financial Planning analysis suggests encouraging aspiring planners to pursue financial designations other than the CFP could lead to more women and people of color entering the industry.

A lack of awareness that web services are available turns out to be the most commonly cited reason for calling or visiting an SSA office.