Portfolio

Women are still underrepresented when it comes to owning independent firms, but there are reasons for optimism.

Love him or hate him, Trump provokes strong reactions from much of the electorate, bankers included. His volatile temperament and penchant for showmanship have left many skeptical, but some see his business experience and dealmaking savvy as a positive.

A manager of an errant broker finds himself the target of regulators and asks our compliance columnist: What could I have done differently?

In 2015, FINRA slammed offenders with $46.3 million in sanctions for suitability-related infractions, nearly six times the $7.9 million it imposed in 2014.

Finding top people is getting harder, says Kathy Freeman, so putting this in a compensation agreement is now ‘mandatory.’

There are many ways firms can measure their operations performance, but which is most accurate?

Why clients may want to examine their motivations for holding fixed-income assets in a rising interest rate environment.

Of 358 bank holding companies with wealth management programs, 223 grew their programs from the previous year. Here are the ones that posted the fastest year-over-year growth through the third quarter of 2015.

The service shares the 12 most egregious tax scams of the year.

Policymakers and other experts are debating just how much pre-retirement income should be replaced by Social Security; plus, student debt and savings don't add up.