Practice

Andrea Bethune contends in federal court that Carson Group moved her into a new role to make way for a woman 20 years her junior. Eventually, her position was eliminated.

The latest study tracking financial advisor movement from research firm Cerulli Associates suggests that employee brokerages must change with the times.

A well-intentioned tax move can push retirees over a Medicare income threshold, leading to thousands in unexpected annual premiums. Here's how advisors avoid these costs.

The Biden Administration rule for a fiduciary standard on one-time retirement-related advice died in two separate court decisions.

Considered a report card on client satisfaction across both advised and DIY customers, the latest JD Power survey points to the growing power of technology to capture new business.

Authenticity and judgment will emerge as differentiators for financial advisors as AI tools reduce the cost of early-stage analysis.

A new annual compensation report by consulting firm Succession Resource Group explains how pay plans can boost — or detract from — the value of an RIA.

The Securities and Exchange Commission and the Commodity Futures Trading Commission issued an interpretation of how federal securities laws apply to crypto.

The RIA technology platform builds on its acquisition of AI-powered liability-optimization fintech Sora Finance last year.

Punitive damages, disclosures over employment terminations, the statute of limitations for bringing claims — FINRA is asking about it all in a series of more than 60 questions about revamps to its arbitration procedures.