Practice

The same trends upending other industries offer opportunities for advisory practices to get ahead of the competition.

Louis Barajas and David Russell discussed their views on how wealth managers can work with and hire more Black and Hispanic advisors and clients.

A law firm’s analysis of what the self regulator is doing to rein in bad brokerages and advisors marshalls data not easily found.

The SEC says Marguerite Cassandra Toroian waited to allocate stock purchases to herself, her family or clients once she knew if the purchases were winners or losers.

OU’s law school enlisted a former player from one of its fiercest rival schools to help students understand how to avoid the pitfalls of misconduct.

Joseph Orazio DeGregorio convinced his victims to invest in promissory notes and companies that never even existed.

They say a prolonged period of volatility will require more creative solutions to find returns and stave off losses.

There are decisions to be made ahead of final guidance to be released by the commission later this year.

In a third alternative to an often vexing choice, the pension holder obtains enough life insurance to elect the single life pension at retirement.

A judge’s decision puts new pressure on the brokerage industry watchdog and the SEC.