Corporate governance

The firm says a summer intern who was turned down for a full-time position sent harassing messages that led it to close its Atlanta office for two days in January.

The mega bank says more than half of its roughly 300,000 are already back in the office every day of the work week.

While not denying the benefits of PE backing, a subset of RIAs and wealth managers remain determined to go it alone.

Even though some firms have been able to command top dollar selling themselves to large aggregators, plenty of variables are still helping to hold purchase prices in check.

Like any ranking, the list from SmartAsset comes with some caveats. But these firms are catering to a lot of high net worth and ultrahigh net worth clients.

Jefferies was among a group of firms cited by the SEC in its recent sweeping investigations into illegal "off channel" communications.

Regulators accused UBS of not doing enough to monitor 22 brokers who generated commissions and sales concessions of syndicate preferred stocks.

A former veteran UK-based planner and a behavioral analysis expert penned a practical guide for financial advisors on implementing "EI" into their practices.

The case stems from Raymond James' recruitment of the $2.8 billion Wise Advisor Group from Baird, which also landed a penalty for a broker protocol violation.

The deadline is fast approaching for brokerages to register home offices for employees performing supervisory functions.

Amplified Planning is expanding beyond the Externship into a new four-month course and a monthly subscription service for outsourced professional development.

Scott Burnett and Peter Kelson, formerly of Zions Direct, plan to work mainly with public entities, corporations, foundations and endowments.

Mike Durbin on Cetera's M&A plans, why consolidation will barrel forward in the wealth management industry and the advantages of having a hybrid firm.

Sallie Krawcheck helped found Ellevest following prominent roles at Sanford Bernstein, Citigroup and Bank of America.

The 10 largest transitions include deals by LPL and Osaic, hybrid RIAs that received private equity infusions and even a new public offering by a SPAC investor.

The wireshoue plans to have a s setting up an Ultra-High New Worth Plus unit for clients more than $50 million in assets.

A 20-plus-year veteran replaces Manish Dave, who left the post in October.

Recruiting moves, M&A deals, influxes of capital, internal rollups and business pivots are fueling the industry's race to scale.

Wealth Enhancement Group is the second large OSJ to go separate ways from LPL, following Merit Financial Advisors

In Preston Cherry's guide to avoiding the stigmas around money to find what he calls "your financial harmony," he also shares his personal struggles and path to transformation.