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Akshay Singh’s Indyfin seeks to give more independent practices access to client leads and the potential opportunity of online reviews.

Fintech deals totaled $348.5 billion in 2021. Here are the trends causing the record transaction wave.

Despite industry criticism, the regulator’s ongoing wave of cases has expanded into allegations that wealth managers breached their duty of best execution.

Heather von Zuben is one of a small number of Latina executives on Wall Street.

The firm and a former rep recommended a course of actions that helped the wirehouse and hurt the customer, according to the FINRA arbitration case.

Citigroup, whose U.S. wealth management business oversees about $181 billion in client assets, created a new business to sell products through independent advisors as CEO Jane Fraser maps a path to managing more money for wealthy individuals.

With practices innovating in the way that they engage with clients and prospects, some may be missing out on business opportunities.

The advisor failed to disclose the low-interest loans he received from a fraudulent crypto securities issuer in exchange for selling the products, investigators say.

The sale of the robo advisor represents a $1.6 billion dollar vote of confidence for all financial advisors, says Riskalyze CEO Aaron Klein.

It's the latest salvo against funds that don't live up to their green do-good claims.