Practice

A roundup of this week's news includes advisors on the move, new hires

Clients depend on us to know not just how to handle their investments, but why they are investing in the first place.

The nonprofit is serious about weeding out bad actors among CFP holders, writes Tom Sporkin, the official hired to run its compliance efforts.

A new TIGTA report warns, however, that many didn’t follow the rules and could face potential tax penalties.

Nearly 100 clients Mata allegedly defrauded for $14.5 million have received paltry restitution after exhausting every possible method.

The deal adds 4M clients to the division’s 16.6M clients.

A new high in loan volume and a notable influx of advisory AUM drove the wirehouse’s business to more than half a billion dollars in second-quarter net income.

The Houston, Texas-based firm was also censured and required to retain an independent consultant.

The inflation-tethered increase is a lifeline for many seniors receiving federal benefits, but there are potential drawbacks.

Titan plans to challenge Fidelity and BlackRock and attract younger generations to active investing.