Organization Root Tag

An advisor questions a witness’s qualifications.

Six executives were recently tapped to lead wealth management and related investment services groups at several financial institutions, including Umpqua Bank, U.S. Bank and CUNA Brokerage Services. Find out who they are and what their new roles entail.

Advisors are just one tool in the box.

Smaller brokerages are benefiting in big ways from cutbacks at three of the four largest firms.

JPMorgan projects net corporate issuance of emerging market debt at just $22 billion for the rest of the year.

Let's have a robust discussion about how to improve outcomes for clients, but let's stop inventing bogus reasons why we shouldn't look after their best interests.

While her performance at the bank has been exemplary, she was denied opportunities that directly affected her pay, the advisor claims.

The nation’s largest broker-dealer must convince thousands of NPH advisors to make the transition.

The firms had the same parent, but Girard Securities’ CEO says the move will help its 200 advisors.

Investors may be shifting to cheaper options, or simply taking profits while markets are high.

Blue Moon Wealth Advisory becomes the eighth major purchase for the RIA in the past 18 months.

The rep ignored FINRA's repeated requests for documents it needed to investigate allegations that she made inaccurate statements on a mortgage gift letter.

Phil Shaffer says changes in the business necessitated a career change if he was to maintain an edge in serving clients.

The broker claims in filings that he was harassed by the bank, culminating in his firing in February of last year.

The technology underpinning Alexa can automate meetings, update clients and even deliver advice.

The nation’s largest IBD paid $325 million, but it may spend as much as $508 million in the deal.

Over 75,000 advisors in the U.S. will be affected by what is expected to be the most significant version of CFP standards to date.

The new hire previously managed three UBS locations that generated $110 million annual revenue, according to the regional broker-dealer.

New standards for advisors cover digital advice, third-party relationships and expand fiduciary duty obligations.

A checklist for advisors who have clients looking to launch a new business.