Portfolio

The bull market has made many wealthy clients overweight in single stocks. Here’s what they can do to diversify their retirement nest eggs and cut taxes.

The latest legal fight between the firms over departing brokers raises questions about the effectiveness of the Broker Protocol.

The company has added $1 billion in assets in 18 months.

Greg Girasole and Alex Kriete, who the bank brought in last year to oversee a new digital-assets group within its wealth management division, are striking out on their own.

Worden Capital’s barred CEO allegedly had an “oral agreement” with a private placement issuer that he didn’t disclose to the firm’s brokers or its clients.

The regulator didn’t provide any explanation for the much larger payout, but it did release another similar settlement the following day.

Federal authorities say Raymond A. Erker ran a Ponzi scheme that defrauded 54 people, but he maintained he did nothing wrong while on the stand.

Arbitrators granted the wirehouse damages for payment of a promissory note but slammed the conduct of a “management-level employee.”

How technological innovations, market forces and changing investor preferences combined to bring a millionaire's strategy to everyday investors.

He says the industry has become much more diverse and supportive, but there’s still a long way to go.