Practice

Globally, women are more economically powerful than ever before. Kathleen Kingsbury write that, despite this financial influence, many women still struggle to express their personal power in the workplace.

To generate more high-level referrals, Bill Cates suggests advisors try hosting a simple, targeted educational seminar populated by clients and their friends.

Janney continues to emphasize its focus on the Southeast with the addition of two former Stephens advisors in Columbia, S.C.

A Detroit investment adviser will pay $3.1 million to settle U.S. Securities and Exchange Commission claims that he stole money from a police pension fund to finance his purchase of two California strip malls.

Women advisors descended on Dallas for the recent Women Advisors Forum. The day of educational sessions, discussion and networking opportunities featured an array of topics from how to use complex assets for charitable giving to succession planning and what it’s like to start your own business after starting out at a wirehouse.

“Nothing I did in the last five years had anything to do with selling on a commission basis,” he told Financial Planning.

Hilliard Lyons continues growth in North Carolina with the addition of two former UBS advisors.

The Securities and Exchange Commission last week unveiled its money market fund proposals that, in part, seem to have won the support of its biggest critic: the Investment Company Institute.

The Securities and Exchange Commission has improved how it justifies new regulations after at least five recent court defeats faulted its use of economic analysis, according to an audit by the agency’s inspector general.

The Securities and Exchange Commission has paid $580,000 to settle claims by a former internal watchdog that he was fired in an effort to quash his investigations.