Practice

Former UBS employee Cody Rice acknowledges that his politics and personal traits made him an outlier in the ESG world. But that, he says in a lawsuit, was no excuse for the treatment he received.

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.

The 2025 Orion Advisor Wealthtech Survey indicates that more than half of financial advisors plan to increase their investment in technology — and that many aren't using large parts of their existing tech stacks.

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would receive compensation for lending out their brokerage holdings.

Opportunistic competitors anticipating trades are swooping in first, moving prices, according to a recent study.

For financial advisors, the hardest part of soliciting and posting SEC-compliant reviews can be overcoming reluctance on the compliance end.

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.

Chief Operating Officer Dennis Moore is taking on the role of interim chief as the profession mourned the loss of a dedicated leader.

The can-do work ethic of the firm's northeast divisional president took him across the country multiple times — and to the top of the profession.