Practice

Critics say SEC efforts to regulate advisor titles could produce a game of whack-a-mole, as non-fiduciary financial professionals adopt other terms intended to blur lines.

A massive acquisition also helped boost the No. 1 IBD’s headcount by 833 advisors year-over-year to 15,210.

The products are designed to provide some upside potential yet limit investment risk, which has helped boost their popularity.

The stresses of the job practically demand that we have people to confide in when the going gets rough, Michael Kitces writes.

A recent report from Democrats on the Joint Economic Committee says that Social Security is being threatened, and the federal government should consider modernizing and enhancing the program.

The firm incorrectly coded her payout at the institutional rate, a mistake that impeded her ability to move up the pay grid and attain bonuses, she alleges.

FPA leaders say they are sounding out members and looking at where the proposals may fall short of needed investor protections.

Gender discrimination and sexual harassment still occurs in a profession whose history includes scandals such as Smith Barney's boom-boom room.

The funds paid for multiple vehicles, bedroom furniture and debts at casinos, prosecutors say.

The firm also reported record revenue and pre-tax income for the recent quarter.