Dan Shaw

As it seeks to bolster its U.S. presence, the Canadian bank's wealth management subsidiary has been one of the most active recruiters in the industry in recent years.

The plaintiff in the class-action suit notes that returns at rival institutions rose when inflation started driving prices up last year. Her rates did not.

Recruiters see the banking giant's offering as central to its bid to retain top teams and prevent them from going independent.

Bans on working at brokerage firms don't lead to prohibitions on acting as an RIA as often as one might think.

The restructuring is further evidence of the megabank's commitment to adding to its stable of branch-based advisors.

Some think lending to businesses outside the banking system can reap outsize rewards for advisors who are willing to do their homework.

Higher earnings potential but short careers for top-class athletes continue to warrant special attention from planners.

A new report finds that contract clauses forcing investors' cases into private forums too often stack the deck in favor of firms.

Amid industry crackdown, some say they are beginning to see a way forward for digital asset firms that want to stay on the right side of the law.

The fine arises from market manipulation committed by a pair of former employees over the course of nearly seven years.

A lawyer representing hedge fund manager George Jarkesy argues the dispute could be solved simply by letting defendants choose to take their cases to regular courts.

Brian McDonald, head of Morgan Stanley at Work, spoke with Financial Planning about how the firm aims to extend its roots in Silicon Valley and build on equity compensation offerings.

The broker-dealer regulator's proposal would fall in line with similar leeway granted to advisors under the SEC's marketing rule.

The proposals would let firms sign up for a pilot program to test remote branch inspections and require less frequent in-person exams of supervisors' home offices.

Pondering her firm's future on walks during the pandemic, the founder of an independent RIA decided she needed a bigger partner.

Firm CEO sees benefits in acquisitions rather than recruiting, in part because they allow for "client continuity."

The Wall Street regulator shows strong interest in preventing relatively new forms of technology from being misused in ways that can harm investors.

With trillions in assets likely to be handed down in coming decades, financial planners shouldn't wait to establish rapport with investors' children.

A pair of advisors caught up in long-standing recruiting litigation will lose money from an earlier FINRA award in order to pay penalties to their former employer.

Some argue the standard-setting organization could be doing more to expel 'bad apples' from the industry.