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Comments on FINRA proposal question of difficulty of getting meritless customer complaints erased.

The husband-wife creators of financial coaching website The Bemused have plans to expand their company after her departure from Ballentine Partners.

The giant wealth management firm allegedly made inaccurate representations to the regulator involving the call logs on two of its internal network drives.

The firm is rolling out team affiliations and internal career pathways into advisor roles, while looking to siphon off veterans from wirehouses by continuing a popular no-strings-attached transition offer.

Check out this collection of can't miss conversations with industry insiders and experts.

With teams managing some $9 trillion in client assets expecting to retire over the next 10 years, the results of Cerulli's survey carry massive implications.

A report from the bank's asset management division shows that American women are financially ill-equipped for retirement and suggested how employers can help.

Rohit Chopra, director of the Consumer Financial Protection Bureau, said the bank is "not making rapid progress" and hinted at the possibility of additional restrictions. But analysts saw positives for Wells in the $3.7 billion consent order.

The wealth management industry continues efforts to confront long- standing diversity issues. But those putting in the work know there is a long way to go.

The Schwab Benchmarking Study has some concrete advice for advisory firms that need to hire tens of thousands of employees over the next five years.