Practice

An advisor of 36 years, Jay Mastilak moved to Stifel from Wells Fargo.

Clients seeking to recoup some $14 million in damages have received only 12% of their total claims, according to an SEC-appointed receiver.

Robert Cook’s pay far outshines that of other SRO chiefs.

“We are not delaying and we are not changing the standard,” Chairwoman Susan John says of pressure to weaken the board’s tougher guidelines in line with the SEC’s Reg BI.

An otherwise simple strategy has many pitfalls.

Recruitment is ongoing — not a one-time sales pitch.

Digital transformation will only accelerate, a technology consultant tells wealth managers.

Despite changes in the new law aimed at scrapping a penalty for most new couples, those from high-income households may owe more this year.

Almost four in 10 borrowers are under the age of 30, according to data from the Federal Reserve Bank of New York.

It's the first significant regulatory filing requirement for RIAs in more than a decade.