Organization Root Tag

Claims and counterclaims fly as arbitration panel orders an advisor to repay $1.66 million in promissory notes, but that's not the last word in this nearly five-year long dispute.

The insurer lost four prominent female executives earlier this year in departures CEO John Schlifske called “a step backward.”

The only remaining founder of GSO Capital has left to build a family office and find new opportunities to spend the wealth he’s amassed over 35 years.

The promotions broaden the pool of potential candidates to eventually succeed CEO Sergio Ermotti.

After a year marred by huge legal fines, questions about succession planning and a deepening slump in share prices, CEO Sergio Ermotti unveiled a revitalized board and replaced wealth management co-head Martin Blessing.

A pastor was falsely arrested for check fraud because of errors made by Wells Fargo employees. Now, he may be forced to resolve legal claims against the bank in arbitration.

While the agency has publicly detailed key focus areas, some planners still don't know how it evaluates firms.

Judging from what promoters of insurance products can say in their marketing materials, not so well, writes Ethan Schwartz.

At her new OSJ, Laura LaTourette is teaming up with fellow influential planner Marci Bair to help educate allies and create more avenues for reps to meet.

Some see a potential cure in a practice that’s commonplace from Italy to the U.K., but banned in the U.S.

Advisors may be able to shift taxable income and potentially save on employment taxes, as well.

Advisor Chuck Cooper says he hopes the new practice will be a home for breakaway wirehouse and IBD-affiliated advisors.

The RIA founded by former Barclays advisors caters to ultrawealthy clients.

UBS Global Wealth Management, which oversees more than $2.48 trillion in invested assets, has gone underweight on equities for the first time since the euro-zone crisis.

John VanEngelenhoven, who had worked at Schwab for 14 years, custodies with rival TD Ameritrade at the new firm.

This is the 14th new location the regional BD has opened so far this year.

Although the mistake was short-lived and the dollar value small, the mishap raises new questions about how managers monitor indexes.

One of the clients who filed the claim is still trying to withdraw money from non-traded investments he says were never explained to him.

LIMRA predicts that lower interest rates will cut into the record sales, but two top issuers received IRS rulings they say will help RIAs offer the products.

The deal will accelerate the firm’s digital-heavy client strategy, CEO Andy Rachleff said.