Practice

Amid rising criticism of bans on court filings in wealth management, the firms’ customer agreements are getting as much scrutiny as those of brokerage firms.

None of the leading 20 funds with a 50% to 70% equity allocation beat the gains of broader stock indexes over the past 10 years.

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.

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.

Just 1,275 families paid $9.3 billion in estate tax in 2020, down from $20 billion from nearly 5,500 families in 2018.

Four longtime financial planners believe the industry is ready for change. They talked about how to achieve it on the opening day of the CFP Board Center for Financial Planning Diversity Summit and Career Fair.