Corporate governance

In an annual release, law firm Eversheds Sutherland finds the broker-dealer self-regulator's total number of enforcement actions increased last year, even as its fine haul fell.

Ex-Oklahoma State University Cowboys player Brendon Evers says NCAA athletes need more guidance that reminds them to think about life after sports.

In a warning alarm about the industry's staffing needs, McKinsey predicted there will soon be a massive shortage of advisors to meet client demand.

Every basis point of revenue based on client assets poses competitive implications. Here's how the upcoming change could affect financial advisors' businesses.

The near-blunder occurred in the same month that another part of the bank accidentally credited $81 trillion to a different client.

Location plays a crucial role in growth and advisory practice valuations — just not in a simple map focusing on the largest cities with the most wealthy people.

RBC's firmwide net income skyrockets despite rising costs, even as its advisor headcount holds steady.

Last year set a record for mergers and acquisitions among advisory firms. Industry experts expect more of the same in 2025, driven by a desire for client and asset growth.

There are plenty of compelling reasons for branching further into the many areas related to wealth management. But experts warn there are challenges, as well.

The popular online broker-dealer has caught regulators' eyes over its moves into market news, trading in sports games and other events, and a new premium credit card.

Berdina Moore-Bonds alleges that when Morgan Stanley embarked on a reorganization of its regional divisions in 2023, she and another Black woman were the only field leaders to lose their jobs.

The pace of natural disasters seems to be accelerating, prompting taxpayers and preparers to search for ways to deduct catastrophic losses.

Up from $26 million in 2023, Jane Fraser's compensation last year saw the largest increase so far among heads of big U.S. banks.

Every statistic relies on a series of assumptions and other factors. However, quantitative and qualitative responses are still important for prospective customers.

Citi's head of wealth said the firm is already working with a quarter of the billionaires in the world through its private bank. Now it just needs them to entrust it with managing more of their money.

Cary Carbonaro provided a blueprint for wealth management firms and investors ahead of the looming transfer of tens of trillions of dollars in assets.

With trillions of dollars in assets passing to surviving spouses before next-gen heirs, advisors must expand their digital strategy to include women.

The name of the firm signals how she aims for the firm to be something more than a financial advisory company to women who are entrepreneurs and professionals.

Mark Sam Kolta was at National Securities for nearly four years before its sale to B. Riley. While there, he managed to rack up more than two dozen customer complaints that were eventually settled for millions.

Debra Taylor is spearheading a new program entailing education for financial advisors, guides for clients and technology integrations.