Corporate governance

The Connecticut-based community bank announced a raft of new board and executive appointments, giving shape to a new strategy aimed at winning more business from high-net-worth individuals.

Despite the notable flows and valuations, some sellers get locked into an ill-fitting parent firm without many options for getting away.

Regulators say they are seeking fairness, noting that firms that reached deals with the SEC before the start of the year are under fewer regulatory mandates.

Private equity-backed consolidators need platform uniformity to grow — but without sacrificing acquired RIAs' unique strengths.

After joining Raymond James last year, Lynette Ancona contends she was virtually forced out of Schwab by a branch manager who tended to favor "younger, male" colleagues.

Four experts say that video training and giving the TLDR versions can go a long way to securing and keeping clients confident and engaged.

A unit of the bank bought by UBS in 2023 pleaded guilty to conspiring to help its customers hide more than $4 billion from the Internal Revenue Service in at least 475 offshore accounts

The firm characterizes the cause examination, a procedure that typically originates from a customer complaint, as a routine matter.

A judge found that the alleged victims of a scam run by a now-disgraced representative of Oppenheimer furnished no evidence of having direct ties to the firm.

In our final installment on broker compensation in 2025, learn which firms are paying advisors with $2 million in annual revenue the most.