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The SEC obtained emergency asset freezes against Jonathan Adam and Tanner Adam, and their respective entities, to halt an alleged $60 million cryptocurrency Ponzi scheme.

The wealth management giants join their rivals Wells Fargo, Morgan Stanley, UBS, LPL Financial and Ameriprise in being accused of using uninvested cash in advisory accounts to boost their bottom lines rather than benefit clients.

Firms like Morningstar and Savvy Wealth share their experiences in building guardrails around AI tools to prevent them from giving risky advice or creating regulatory concerns.

The former Amazon project manager now caters his firm to serving tech professionals.

The arbitration decision comes more than a year after SW Financial was expelled from the industry for violating Regulation Best Interest.

New rules for IRA beneficiaries, the expiration of the Tax Cuts and Jobs Act and guidelines for qualified stock make these strategies especially relevant.

Millionaires only accounted for 0.22% of total returns filed this year for the 2023 tax season.

Several advisors answered the call with their strategies for tackling this potentially sticky situation.

UBS executives estimate their plan to raise rates on certain accounts will cost the firm $50 million. A new suit cites that as evidence that the firm "violated its obligations to its clients."

The decision hinging on the definition of "inventory" in the sale of a highly valuable position in a U.S. partnership resolved a saga that began 16 years ago.

The active side of passive indices is on display as two of the largest present plans to undercut the weighting of the largest megacap companies.

Now the questions are: how much, and how often.

A record number of Americans expect to be unemployed soon, giving advisors opportunities to help them plan.

Analysts say that firms that are forced to start paying clients higher rates may have to raise their advisory fees and cut costs to make up for the revenue losses.

These firms ramped up their ranks through recruiting and M&A deals at notable rates over the past decade — even as the channel experienced record growth.

Alfred Nobel was the inventor of dynamite and founder of the annual prizes.

However, financial advisors have been trying to ease client fears by taking a longer view.

One of the most successful recruiting firms in recent years, LPL again finds happy hunting grounds at its rival giant in the independent brokerage channel.

The industry's growth has set records in the number of firms, client assets and M&A deals. These firms stand out from their peers, though.

Both presidential candidates have floated it, and there are benefits for both workers and employers — though not always how you'd expect.