Ann Marsh

Firms must collaborate, rather than compete, to bring in more women and non-white advisors, says Cerulli Associates.

Edward E. Matthes allegedly renovated his home, paid child support and bought luxury items with client money.

The takeaway for other firms: Be explicit, clear and public about seeking women employees and creating a safe workplace for them.

As the firm struggles to find RIAs to buy, CEO Peter Mallouk explains how the Tony Robbins factor has driven growth.

With its appointment of Martine Lellis, one of the largest and most-acquisitive RIAs ups its leadership ranks to almost 40% women.

Advisors should be increasingly aware of how banks are shaping client expectations.

Supervisory failures at LPL Financial, J.P. Morgan Securities, Morgan Stanley, Merrill Lynch and Citigroup prevented assets from moving to beneficiaries on time.

“I want to give a huge thank you to my clients” for feeding local families, Keith Springer blogged the same day the SEC filed its complaint.

“There definitely will be people who don’t win in this,” says Altruist founder Jason Wenk.

Robo advice is “a feature, not a business,” one digital expert says

When Advice Pay's Mary Moore shared the story of her alleged sexual assault, an outpouring followed. This public discussion is vital for change, says wealth manager Rachel Robasciotti.

“I feel like I always operate in a recession” — and that’s a good thing, says Bernstein Private Wealth Management's digital chief.

The LPL Financial advisor is using his new influence to help firms create policies to prevent sexual harassment.

Two incidents brought predatory behavior into focus and sparked change at XYPN.

“We all agree a conflict could arise in the future,” Schweiss says. “There are ways of potentially dealing with that.”

The advisor advocate’s’ term, to begin in 2021, also will focus on increasing FPA membership.

Although FINRA cannot investigate potential wrongdoing by these former employees, state regulators are expected to do so.

The regulator’s move follows a Financial Planning investigation into whistleblowing by former JPMorgan financial advisor Johnny Burris.

The demands come following a Financial Planning investigation revealing how JPMorgan’s Chase Private Client group used false evidence to get rid of an advisor.

Elias Herbert Hafen, “every client’s worst nightmare,” could face years in jail. The wirehouse says it is repaying clients.