Practice

Top innovators at Microsoft, Salesforce, FP Alpha and more, will speak on where AI is headed in wealth management at Financial Planning's ADVISE AI conference next month.

The latest lawsuit accuses the firm of not only failing to look out for clients' best interests but also failing to secure "reasonable returns" on money held in retirement accounts.

Merrill and a partner firm were accused of running a complicated yield enhancement strategy, or CYES plan, of the type that has long been in regulators' crosshairs.

A pair of SEC commissioners say the treatment of the brokerage firm Qatalyst shows industry watchdogs expect nothing short of perfection with regulatory matters.

Financial advisors' jobs won't be eliminated by AI, but their roles are rapidly evolving to keep up with new client demands and oversee new tech to prevent hallucinations.

Plaintiff Stephen A. Greco has the opportunity to file an amended complaint, but a federal judge took his allegations of conspiracy to task.

Here are some of the key takeaways from a sampling of the many substantive discussions at Huntington Beach last week.

Christopher Stroup was a petroleum engineer before becoming a financial advisor. Now a 2024 Rising Star, he has dedicated his career to providing LGBTQ clients and entrepreneurs with quality financial advice.

These seven financial advisors — career changers, innovators and community leaders — are changing wealth management. Here are their stories.

Best practices for each option can make the difference between success and stagnation in a growing advisory firm.