Corporate governance

Amid the painful backdrop of history and the scale of the present-day challenges, pro bono financial advisors are focusing on their clients.

An SEC rule that would increase requirements for companies to disclose their emissions was paused following a lawsuit this spring.

The trailblazers who have found success in challenging circumstances shared key lessons and best practices as part of what will become an annual event.

The terminations come amid a renewed push by firms to haul employees back into the office.

Jeffrey Levine and The American College of Financial Services hope to help more financial advisors branch into the related but historically separate field.

New CEO Ted Pick sees little need to change the "wealth management machine" his predecessor helped bring to "escape velocity."

The American Securities Association accuses the industry regulator of violating federal sunshine law for rebuffing its requests for insight into more than $3 billion in recent settlements with Wall Street giants.

An industry lawyer says the firm's liability in a complex insurance-related scam will hinge on what it "should have known" or "must have known."

High-earning participants in the expanding universe of retirement plans offer a wellspring of potential clients for firms and advisors.

Concurrent Financial Planning brings academic gravitas to its growth plans under the firm's founder Preston Cherry and his wife, Managing Partner Eiman Osseilan.

The St. Louis-based brokerage is also encouraging representatives to become Certified Financial Planners as it experiments with fee-based fiduciary business models.

LPL Financial topped the list, but the next five firms in these rankings of the 10 that picked up the most brokers from rivals are wirehouses and employee brokerages.

The meaning of independence takes on many different forms for these 10 financial advisors, wealth management executives, entrepreneurs and other experts.

With brokerages, consolidation, lawsuits and more, independence ain't what it used to be. Advisors who want to break away must contend with ever-changing options and obstacles to define their own version of independence.

The likely more than $1 million award is the latest result from cases arguing that firms' pay policies run afoul of federal retirement law.

Brokerages have until June 26 to decide if they want to take part in a pilot program allowing them to continue inspecting their branch office remotely; plus, the rundown on residential supervisory locations

As incoming president of Raymond James & Associates, Tom Walrond will seek to build on his firm's reputation for stability and advisor choice.

The financial industry regulator contends firms are unnecessarily sounding the alarm that new policies will require going into the office five days a week.

Barriers keep CPAs, attorneys, financial advisors and brokers from communicating effectively for their client's benefit — and the benefits of collaboration are significant.

The partners at Pilot Financial have been through only one acquisition in their firm's history — the recent sale of Lincoln Financial's wealth groups to Osaic — and they're not eager to repeat the experience.