Corporate governance

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.