Practice

The firm agreed to “remove language that formed the basis of the alleged misrepresentations."

Revisiting his predictions from 2017, he doubles down on the importance of firms adapting to embrace industry trends — and offers some new forecasts.

Advisors will find the lowest, near-zero fund. Do they read the fine print?

Clients may be better off boosting their equity allocation if they have a safety net in the form of assets that provide guaranteed income.

The regional BD has maintained a steady influx of wirehouse advisors.

Listening to a customer service call produced a big surprise. It also showed how firms can take one position to fight complaints in private, but another in public.

Two teams with $344 million in total AUM are tasked with expanding the firm’s presence in Mexico and South America.

As robos take over investment management tasks and younger clients demand more services, advisors need to reimagine what they offer.

Wealthy clients certainly expect more of their advisors — but technology won't do the job on its own.

Recent lawsuits highlight the unpredictable nature of litigation in a post-Broker Protocol world.