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Yext's CEO said his firm could have tried building its own in-house compliance software. Instead, it found exactly what it needed at Hearsay Systems.

The payout of nearly $20 million reflects the mixed status of Black representation among financial advisors at the largest wealth management firms.

Bankers still mostly back Republicans, according to Federal Elections Commission data, but the Biden administration is centering its pitch for support on the economy, regulatory stability and promising higher taxes for the wealthy and corporations.

A client plans to leave an inheritance only for their biological children, icing out the adopted ones. Is their financial advisor obligated to help — or speak out?

These issues loom especially large for the LGBTQ client base, which is the focus of a new national initiative launched by financial advisors, lawyers and other professionals.

Sources familiar with the case say Nicholas Takahashi's name surfaced on a Wells Fargo website long after he had left to work for a competitor.

The Corporate Transparency Act, ostensibly meant to address scams and other crimes, has ironically opened the door to new kinds of scams directed at small-business owners.

"It would be irresponsible for us to ignore factors that can fundamentally impact the long-term viability of investments," said CalPERS interim Chief Investment Officer Dan Bienvenue of climate risks.

Fidelity and Envestnet said they are relaunching a more integrated Fidelity Managed Account Xchange platform to give clients a more streamlined experience.

Like its Wall Street rival Morgan Stanley, Citi sees a path to trillions in client assets in its workplace division.