Corporate governance

An industry consultant thinks Edward Jones' latest bid to start a bank is an attempt to add revenue sources as the traditional brokerage business becomes less lucrative.

Evan Becht told a FINRA arbitrator that he has not been able to find another job since JPMorgan's reasons for terminating him became listed on his BrokerCheck page.

The M&A flow may suggest that only the giants of wealth management will be able to navigate the business, but that dominating narrative is wrong.

Goldman Sachs, Bank of America, Wells Fargo and Truist are facing pressure from ISS, Glass Lewis and SOC Investment Group over their 2024 pay packages.

The founder of Tulsa Innovation Labs is calling for changes to draw more investments from civic-minded financial advisors and clients in their local communities.

A court of appeals agreed with Commonwealth's contention that a jury should decide if investors were harmed by investment disclosures allegedly withheld from them.

Experts say those survey results simply reflect successful and experienced teams, but the alphabet soup of certifications presents tough choices for current and aspiring professionals.

Ahead of Tax Day, annual return filings consume a lot of attention, but advisors and other experts say they pose opportunities for growth and savings as well.

Citi's proxy statement praises its head of wealth for bringing in net new assets and talent.

The public has until May 13 to comment on a proposal that would prevent brokers from having to list side hustles like online antiques stores or after-hours bartending gigs.