The fiduciary responsibility of broker-dealers in Massachusetts, a pay discrimination lawsuit against Edward Jones and a FINRA arbitration award against Morgan Stanley and two former Charles Schwab brokers are among the issues that have made waves in regulatory and compliance news.
Read our roundup for more on these and other stories that wealth managers are watching.
Industry experts who track comings and goings at large firms say the advisor staff figures often obscure more than they reveal.
In a Q&A with tech innovator Dani Fava, the new chief strategy officer for Carson Group explains where the rapidly growing firm is headed next, and the importance of using AI as a time saver.
When a small company holds a life insurance policy, estate planning gets complicated — which is why assigning it to an individual or a family may be the better choice.
As Congress battles over shutdowns, Social Security's staff has dwindled to its smallest size in decades. For retirees, that means longer wait times and delayed benefits — but advisors can help.
Citizens has been on a recruiting and acquisition tear in recent years. Tom Metzger, the recently appointed head of the bank's private wealth unit, says it's just the beginning.
As it and other critics pursue a coordinated legal strategy, a trade group for independent insurance agents requested an injunction to put the regulation on hold.
