Two representatives in a New Jersey office made lewd comments and created a hostile work environment, the former employee says.

The Dallas-based hybrid RIA has more than 100 reps, and, if they follow the chief’s exit, it would be the the No. 1 IBD’s largest loss since 2019.

With the burden on participants to figure it all out, it's no surprise that more often than not, they just give up, Alexis Leondis writes.

A state treasurer’s program in collaboration with the Ford Foundation has attracted 18 firms including UBS, BlackRock, Morgan Stanley, Citi and Goldman Sachs.

The trio of advisors leaving Commonwealth for the regional firm are its largest “reverse breakaways” ever.

“If you have a superb value proposition and an incredible platform, you’re able to give more of that money back to shareholders,” said CEO Jane Fraser.

"Looking at boards, leadership representation, diversity representation and other indicators can guide advisors to consider investing in companies that align with their clients’ objectives," writes Eve Ellis.

Bob Doll, LPL, Advisor Group, Cetera, Northwestern Mutual, Thrivent, Commonwealth Financial, RIA in a Box and other news from around the industry.

While after-tax funds in employer-sponsored plans are tracked by plan administrators, clients are on their own with traditional IRAs, Jeffrey Levine writes.

While most plan to keep their physical workspaces, others are preparing to embrace the remote style of the pandemic.

This likely means an ex-diversity chief from the firm will no longer be able to testify in a class action lawsuit with similar allegations, according to a legal expert.

Almost nine in 10 estate planners say women clients either lost their jobs, had their salaries cut or left the workforce during the pandemic, a study shows.

When the millions left unemployed due to COVID-19 return to work, research suggests they will cash out of their former employers’ plans, Spencer Williams writes.

Concurrent is catering to breakaway teams assessing their options after back-office frustrations during the coronavirus, co-founder Mike Hlavek says.

2020 was a challenging year for banks. The impact of COVID on the economy as well as changes to accounting for loan loss provisions were evident in weaker financial and stock price performance in 2020 for many banks and yet CEO compensation increased. Learn from experienced executive compensation consultants about the challenges Compensation Committees faced in 2020, why pay levels increased relative to 2019, what were common COVID-related compensation changes, and what changes were made for 2021 incentive plan design.

The private equity-backed wealth and 401(k) manager drew away an ex-Hightower team as part of its surging growth in the past year.

Four advisors launched a program for RIAs this summer with industry-changing potential.

Study after study shows that diverse teams lead to better outcomes. Here's how you can cast a wider net with fintech vendors.

With class actions up for appeal and a daunting process facing some ex-servicemembers, the Biden administration faces tests of its commitment to equality.

A research and methodology company with a star-studded board launched the product with an eye toward advisors, retail clients and institutional investors.