Industry

While a search is underway to replace Howard Plotkin, his duties are being handled by global Chief Compliance Officer David Lang.

Because next year will be too late.

Walt Bettinger also took aim at robo advisors at the Morningstar conference.

Before agreeing to settle a client’s complaint, advisors should look for this key clause in the contract.

The investment research firm debuted three new data sets that can help advisors evaluate investment options for clients.

Although the industry reflects stark disparities, these firms are leading their peers in the hiring of female registered representatives.

The advisor was accused in a lawsuit in January of swindling a Georgia couple out of $330,000 in retirement savings.

The move marks the fifth new office added by the hybrid RIA this year.

A public offering will be a landmark for the advisory business. But the aggregator will face unprecedented scrutiny from investors.

About 41% of households prefer a mix of human and digital advice.