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Chairman Gary Gensler draws attention to high-profile cases over WhatsApp and other messenger communications as well as the need for crypto regulation.

Financial Planning's Top 40 Brokers Under 40 rankings recognize the industry's top elite young producers among broker-dealer firms. Nominations are now open for the 2024 edition.

The firm's total advisor headcount holds steady while its assets under management swell to $816 billion.

In rare move, passed-up Saperstein to stay on as head of wealth and asset management.

Financial planning careers pay well and offer great prospects, but many students still don't know they exist.

Saperstein, the president of the big bank's star wealth unit, to be head of wealth and investment management.

A couple in New Jersey has enough savings to finally own their home outright. Should they seize their chance or put their money elsewhere?

Funds devoted to modern technology, especially semiconductors, yielded by far the highest returns from fall 2013 to fall 2023.

The online portals could make working with the agency easier for financial advisors, tax professionals and their business owner clients.

The firm's bottom line took a one-time hit from legal expenses even as it recruited advisors and added to its assets.

Two companies came together and dropped an outside clearing firm as the team led by CEO Cat Davies enters an increasingly competitive area of the industry.

From AI to video, advisor marketing is evolving. On this week's FP Podcast, the leader of the award winning marketing technology firm explains how financial planners can keep pace.

Understanding the mechanics of how generative artificial intelligence is trained can help advisors participate in the process.

From ordinary couples to the ultrarich, people of any wealth level are vulnerable to financial abuse and domestic violence. Wealth managers, who can see into a household's finances, can make a difference.

New research released during the annual eMoney Summit says understanding, technology and trust are the keys to a more engaged client base.

A new report by the investor advocate bar finds most brokers seeking purges of past customer complaints go unchallenged by securities watchdogs and aggrieved clients.

Beneficiaries and retirement account owners born in 1951 in particular may be in luck.

CEO Dan Arnold said on the firm's last earnings call that the tools were "receiving positive early feedback and demand in the marketplace."

The late actor's estate fell short in a five-year quest involving the distribution of a hedge fund position when his financial advisor left UBS for Merrill Lynch.

A handful of insurance companies are remaining in the adjacent field or boosting their holdings, even as many of their rivals sell off most of their advisory businesses.