Organization Root Tag

The firm says former employee John Lockette agreed to have disputes heard in a private forum when he did not take advantage of an opt-out provision.

Scheduling freedom allows for more time with the kids, say those in the industry.

Alexa von Tobel's startup did many things right, but it was hampered by challenges facing all digital advice providers.

The securities watchdog reprimanded the broker-dealers for allegedly not distinguishing their services from those of the credit unions they did business with.

The largest IBD network is integrating data analytics into its recruiting and client leads after embarking on other major changes in recent months.

The investment gives the world’s largest asset manager a focus on small-time investors.

Clients thought they were investing in real estate developments that would be flipped for profit.

They have time on their side, but compounding won’t work if they’re all in cash.

Chris Fils was once one of the wirehouse's youngest branch managers.

The firm grew to nearly 16,000 advisors from 9,000 under retiring leader Jim Weddle.

The no-nonsense CEO fields rapid-fire questions on everything from Amazon's interest in financial services to how the SEC is handling the fiduciary rule

The financial services giant says two locations will be home to a major innovation effort.

NASAA President Joseph Borg also vowed to work with SEC Chairman Jay Clayton’s team on improvements to the Regulation Best Interest proposal.

Aside from filling an obvious gender gap, new evidence is emerging about the reasons why firms should promote diversity.

The firm failed to accurately describe the costs and benefits of exchanging variable annuities and recommended exchanges without knowing if they were suitable, FINRA said.

The CFP Board’s new code of ethics should be celebrated for embracing the fiduciary concept — will the standards be strengthened even more in the future?

Many of the employees who were dismissed worked in the firm’s brokerage unit, according to the allegations.

Overall, the advisor defrauded at least nine clients out of $1 million, which he used to pay for tuition and mortgage payments, federal prosecutors say.

In addition to being fired, advisors could also face suspension and fines — all from the carelessness of not carefully reading one simple question.

One strategy includes encouraging clients to wait until the age of 70 to start collecting Social Security benefits.