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Millions of dollars are at stake for dozens of former employees — but the case also raises questions about the federal law governing retirement plans.

For advisors seeking a type of independence that defies industry norms of success, two female CFPs have launched a co-op promising to be a firm of one's own.

The Canadian lender continues to look south of the border for growth in its wealth management business.

The longtime fintech reporter and Financial Planning Podcast host says goodbye after moving on to a new opportunity.

Martin P.D. Henley is chief executive officer of mea platform. Henley has more than 20 years' experience within the global Insurance industry and was most recently Group CIO at XL (group) Catlin. He incorporated mea in 2021, bringing together Insurance and technology expertise to address the biggest Industry problems through technology.

The broker-dealer industry's self-regulator warns of risks also related to cryptocurrencies and off-channel communications.

Rafael Loureiro is the co-founder and CEO of Wealth.com, a next-gen estate planning platform for financial advisors.

Before founding Wealth.com, he was CTO at Emailage, a global fraud prevention SaaS startup acquired by LexisNexis Risk Solutions. 

In a case with industry-wide implications, PKS Investments argues that a Utah couple cannot pursue damages against the brokerage through FINRA arbitration.