Justin L. Mack

Focus Financial Partners saw revenue climb more than 32% in 2021, powered by a flurry of deals and higher wealth management fees.

The “Metrics That Matter” report is a compilation of five articles written by industry pros and academics covering best practices when incorporating metrics into DEI work.

In the first full year with the rules, the regulator found multiple areas where firms are missing the mark.

After two stints as a rep for Charles Schwab, Russell Joseph Mutter started a Ponzi scheme that ran for nearly a decade in his home county.

Nonprofit research organization the Croatan Institute group brought fixed income pros together to talk about the power of investing to support systemic change.

Officials said when he could no longer keep his investment fraud running, Scott Nicholson admitted to his clients that their money was gone and their investment was worthless.

Furman Alexander Ford, who once jumped his fence to avoid federal agents, will head back to trial in May for a separate criminal case involving Medicare fraud.

Jeffrey Santulan and his company, Safeguard Metals, are facing enforcement actions by the SEC, the Commodity Futures Trading Commission and 27 state securities regulators.

September's Future Proof Festival in Huntington Beach, California, will be the first in-person gathering for Onyx Advisor Network.

Growth among Black and Hispanic CFPs saw double-digit percentage gains in 2021. But overall representation remains stagnant year-over-year.

FINRA alleges the firm failed to maintain control of billions of dollars in securities and spent more than a decade inaccurately disclosing potential conflicts of interest.

The bank’s wealth management business celebrated record revenue, client flows and client balances in it’s latest earnings statements.

Officials said for nearly a decade, former New York advisor Perry Santillo defrauded clients to throw six-figure birthday parties and fill his closet with $10,000 suits.

Growing client assets, a rebounding economy and a more efficient approach led to an 86% boost in net income for Wells Fargo.

FINRA Senior Vice President Gerri Walsh talked about the importance of advisors and financial education as she testified before the Senate Special Committee on Aging.

Keith Todd Ashley has been arrested, jailed and indicted multiple times in connection to murder, fraud and a fabricated suicide.

Federal authorities say ex-PNC advisor Tara M. Brunst acted as a recruiter in a scheme that defrauded 54 people.

Upon assuming the role at the start of 2022, Elliott became the first Black person to ever lead the organization. But the veteran advisor says she’s just getting started.

A College for Financial Planning analysis suggests encouraging aspiring planners to pursue financial designations other than the CFP could lead to more women and people of color entering the industry.

Over the past 12 months, the financial services industry has tried to confront its diversity issues while at the same time delivering stark reminders of how much work still needs to be done.