Organization Root Tag

The wirehouse alleges two arbitrators failed to disclose key information about their professional and personal histories.

The regulator plans to ramp up scrutiny of bad brokers and electronic communications, among other new measures.

That's just one solution among several that will help prepare your firm for success now and in the future, columnist Bob Veres says.

The new exec will advise wealthy individuals and families on tax and estate planning, investing, private banking, financial reporting and fiduciary services.

The planner, joining from Robertson Stephens, also has worked for UBS and Merrill Lynch.

Advisers will create strategies and communicate the advice. Software will handle the execution and maintenance of the strategies.

Liquidations and delistings reached 98 in 2016, an all-time high.

With a deep résumé representing Wall Street firms, Jay Clayton is seen as a business-friendly choice not expected to push major new regulations or ramp up RIA exams.

These popular choices for asset allocation also have a history of solid performance.

The regulator accused the rep of writing 38 checks totaling $46,280 from two personal J.P. Morgan bank accounts that it claims did not have sufficient funds to cover the checks.

The new recruit, who started with the wirehouse's predecessor firm Smith Barney, has been in the industry since the late 1990s.

Jay Clayton represented the bank in connection with the $10 billion bailout it received in 2008 as part of the government’s $700 billion rescue of banks during the financial crisis.

The expansion of hybrid platforms and bank digital advice promises big changes and fierce competition in automated wealth management.

The executive suite transition has been years in the making.

The rep declined to provide the regulator with the documents and information it needed to assess allegations that he misappropriated bank customer funds.

Black employees at the firm say lucrative client accounts were often steered toward financial advisers who weren’t black.

Having lost AUM over the past year, advisers are investing time and resources in new engines of growth.

But to get to where bulls think earnings are going, the economy would have to pull off a feat of strength that is unprecedented since at least 1937.

How the new regulation will affect a planner’s advice.

A majority of people still lack basic knowledge about Social Security. Be sure to educate your clients so they're not part of that scenario.