Practice

Stifel follows closely on UBS's heels in getting hit with tens of millions in punitive damages.

Josh Brown, CEO of Ritholtz Wealth Management, invests in the fintech firm and joins its advisory board to help steer the product roadmap.

Regulators accused Cambridge Investment Research of directing clients to mutual funds and other investments that generated revenue-sharing payments when cheaper options were available.

High net worth individuals tend to think they can manage investing on their own. Researchers say that's an opportunity for financial advisors.

A federal judge agrees with Merrill that deferred compensation is a bonus used to reward employee loyalty rather than a retirement benefit protected by federal law.

With more views and options for financial advisors to be independent, TritonPoint Partners is offering up its take on flexibility, cash and equity, and employment status.

The House of Representatives passed a resolution to repeal the regulations that created reporting requirements for digital asset brokers using decentralized finance systems.

Organizations that work toward boosting industry diversity say President Trump and other critics may be missing the moral and business implications of their efforts.

The murder of George Floyd nearly five years ago prompted many wealth managers to recommit to diversity, equity and inclusion. Some worry what little progress they've shown since is now at risk.

The Trump administration's quick pivots and frequently changing plans fuel plunge in advisor confidence.