Practice

Does a poor stock pick, for instance, constitute a sales practice violation?

The new hires include industry veterans and they join a growing branch in Dallas.

The brokers collectively generated more than $88 million in annual revenue while overseeing nearly $15 billion in assets under management.

Regulators and Washington policy makers are sure to up scrutiny once the dust settles on the market turmoil that has buffeted GameStop and others.

A dead client, an advisor accused of murder and fraud, and an industry that didn’t see it coming.

Despite the credit-positive reading by one agency, the IBDs are competing against less leveraged rivals.

A new committee staffed by CFP pros and others is tasked with refreshing what consequences advisors will face for failing to comply with the board’s standards.

Though interest rates remain low, the partnership gives advisors specialized deposit accounts and lending opportunities tailored to wealthy clients.

The fintech world is expanding at a sometimes breathtaking pace. Much of that growth is driven by venture capital, but how do VCs decide which companies to invest it in--or not? Join Greycroft partner Will Szczerbiak in a discussion with Olugbenga Agboola, the founder and CEO of Flutterwave, the San Francisco-based startup building the largest payments infrastructure in Africa. Guest host James Ledbetter, editor and publisher of the fintech newsletter FIN, will explore these questions: What are VCs looking for in a fintech startup? What are the hottest fintech sectors in 2021? How has the rise in fintech valuations affected the market? Where will growth be strongest in the next few years?

Experts have identified a dozen credits, deductions and more as worth particular attention this year.