Practice

Here's what you missed this week in the world of financial advice, including people moves, deals, enforcement, and research.

Firms using the fintech will lose support on September 6.

Two representatives in a New Jersey office made lewd comments and created a hostile work environment, the former employee says.

The Dallas-based hybrid RIA has more than 100 reps, and, if they follow the chief’s exit, it would be the the No. 1 IBD’s largest loss since 2019.

The Oracle of Omaha's fintech bet is less a testament to his beliefs about the future of banking than a hunt for standout growth potential, driven by consumers, writes Anjali Trivedi.

Jose Ramirez says he doesn't recognize the criminal mastermind portrayed in the SEC's complaint against him.

The proposed changes are worrying investors and their tax advisors, especially the possibility of making them retroactive.

The case against Centaurus Financial comes after the industry and consumer advocates decried the previous administration’s approach for different reasons.

Group of Seven leaders are expected to endorse a plan to plug holes in the world’s leaky tax system when they meet this weekend.

With the burden on participants to figure it all out, it's no surprise that more often than not, they just give up, Alexis Leondis writes.