The Latest

Lina Maria Garcia, president and chief compliance officer of UCB Financial Advisers, has been charged for her alleged role in a fraud that funneled millions of dollars to her romantic partner’s parents.

Despite standout defamation awards, such as a $13.5 million payout to an ex-UBS rep, advisors and attorneys say firms are abusing their U5 power.

He retired from Morgan Staley in 2019 and was once thought to be a candidate for that company's CEO position.

The scholar, activist and author discussed antiracism and its implications for the financial services industry to close the 2021 CFP Board Center for Financial Planning Diversity Summit and Career Fair.

American Friends’ new database joins the expanding research and products on the marketplace, which experts say is at $17 trillion in assets — with room to grow.

Here's what you missed this week in wealth management.

What's in the House-backed tax and spending bill backed by Biden

New flavors of the retirement investments aim to override a lingering bad image by scrapping conflict-laden commissions and being easier to understand. Will independent financial advisors finally be persuaded?

Financial Planning asks the executive about the latest updates to the company’s software, how his company balances growth with serving small advisors, and returning to in-person conferences.

Planners can play a direct role by standing up for colleagues and clients who are women or minorities.