Corporate governance

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.

Young athletes are raking in as much as several millions of dollars a year, but the nascent legalized pay for student-athletes needs reforms, a new study said.

JPMorgan, along with Charles Schwab and a New York-based RIA, stand accused of not doing enough to prevent the son of an 84-year-old widow from stealing his mother's life savings.

Regulators can still conduct informal investigations but need higher-up permission to issue subpoenas for testimony or documents.

The big payday comes after a year in which the bank made progress toward the removal of a federally imposed asset cap.

Citi also announced it had hired Christian Zeinler from UBS to be the head of strategy for Citi Wealth and head of business execution for the private bank.