Justin L. Mack

From stealing millions to murder investigations, here are 13 big crime and court stories covered by Financial Planning in 2021.

A committee says summaries provided by firms are full of jargon and readability issues. But fiduciary and plain-language experts say Form CRS itself needs an overhaul.

The firm will pay restitution and fines to settle allegations that it failed to flag more than 100 client accounts for overconcentration in high-yield bonds.

Muni bonds have not been not the quick way to big returns in 2021. But for the right client, they are the perfect addition to a portfolio focused on stability and low risk, advisors say.

Paul Ricky Mata started a real estate scheme in 2008 that allowed him to drain more than 100 victims of millions. His victims will never fully be repaid.

The former Merrill Lynch, Wells Fargo and Citigroup broker who spent five years stealing from his friends and family to live a luxurious life will now spend even longer behind bars.

Jeffrey Slothower, a former registered investment advisor and founder of Battery Private, has been charged with wire fraud, investment advisor fraud and money laundering.

Advisors and researchers have spent years analyzing the connection between how clients’ wellness affects portfolio decisions. Here’s how far they’ve come, and why learning more is crucial.

MSCI ESG research leaders Linda-Eling Lee and Meggin Thwing Eastman dissect the hottest ESG topics to track in the coming year while reflecting on how much the ESG conversation has changed in the past decade.

Intercontinental Wealth Advisors this week announced a partnership and sponsorship with UTSA standout Rashad Wisdom. But his connection with the firm is much deeper than that.

Avantax Wealth Management says it had to cancel its advisor event because of COVID. But the Nashville resort that planned to host the meeting says it’s still owed $1.3 million, despite the circumstances.

Ronald T. Molo of Illinois allegedly stole money from his clients for mortgage payments, home renovations, luxury SUVs and more.

In early September, a California jury awarded former Edward Jones broker Dalas Gundersen $30 million in damages for defamation from the firm, nearly $9 million more from the two ex-colleagues.

Lina Maria Garcia, president and chief compliance officer of UCB Financial Advisers, has been charged for her alleged role in a fraud that funneled millions of dollars to her romantic partner’s parents.

The scholar, activist and author discussed antiracism and its implications for the financial services industry to close the 2021 CFP Board Center for Financial Planning Diversity Summit and Career Fair.

The executive director of Georgetown University’s Center for Financial Markets and Policy says the financial industry is navigating an era of unprecedented change. Here’s why he’s so excited about what’s next.

Four longtime financial planners believe the industry is ready for change. They talked about how to achieve it on the opening day of the CFP Board Center for Financial Planning Diversity Summit and Career Fair.

SEC commissioners Allison Herren Lee and Hester Peirce discussed ESG, digital assets, meme stocks and more during the 2021 Financial Markets Quality Conference, hosted by the Center for Financial Markets and Policy at Georgetown University.

Breaking ties with your firm can be a smooth transition with no hitches in business, or a daily struggle that requires years in the courtroom. Here's how to navigate the path, no matter where it takes you.

From creating an intuitive user experience to tackling mundane office tasks, a panel of investors talk about what excites them in the world of tech for advisors.