Person Root Tag

Regulators in Massachusetts launched a “sweep” of more than 60 firms that sold nearly $1.3 billion in limited partnerships sponsored by GPB Capital.

More trouble for the embattled company.

A study notes that retirees might be experiencing the “Homer Simpson” mindset, in which they choose immediate gratification without thinking about the long-term consequences.

With Elad Roisman’s appointment, Republicans could have a big advantage at the SEC by year end.

Planners ranging from sole practitioners to the largest OSJ enterprises welcomed the CEO’s comment that the firm's culture was not aligned with its strategy.

Instead, Chairman Jay Clayton should be looking for a quicker way for companies to move from private to public markets, and back.

The lawsuit accused JPMorgan of sending white advisors to wealthier places while assigning black colleagues to less lucrative branches and denying them opportunities.

The order is for the Treasury Department to review rules that require mandatory distributions to begin when someone turns 70 1/2, and to make it easier for small businesses to offer 401(k) plans.

Jamie Dimon and Lloyd Blankfein remain prominent public figures, but many other crisis-era CEOs have kept low profiles over the past decade.

Clashes over the Labor Department's fiduciary rule have carried over into the debate on the SEC's proposed regulation.

The bank disclosed earlier this month that it faces a U.S. inquiry into its purchase of low-income housing credits.

"The process has become enervating and exhausting and to the point where you don't even want to look at it anymore," an expert says.

The firms may or may not be vying against one another, but their advisor forces are moving in different directions.

Not all vehicles are created equal — and for high earners in particular, the conventional wisdom may not apply.

It's not too late for the the SEC to fix its flawed proposal before it issues its final rule, says the Democratic senator from Massachussetts.

The No. 1 IBD adapted Riskalyze to its still-evolving ClientWorks portal and added Black Diamond to its discounted vendor program.

Dan Arnold says the firm remains interested if deals are a match for the No. 1 IBD.

The firm aims to target affluent mainland investors for the first time, while making it free of various offshore investment restrictions.

Whether measuring performance against the market or a client’s own goals, the industry needs accountability.