In October's roundup of pressing issues in the wealth management space, learn about the CFP Board's problematic advertising campaign, LPL Financial's ongoing recruitment court battles against rival Ameriprise and more.

The adjustments reflect how inflation is slowing down and upcoming changes to the rules based on the Secure 2.0 Act and the Tax Cuts and Jobs Act.

In trying to claim the title "No. 1 global wealth manager," Citi is putting a lot of stock in its ability to secure client referrals through its bank. Will it be enough?

The amount individuals can contribute to 401(k)s in 2025 has increased by $500 to $23,500, but the IRA limit remains $7,000.

RBC Wealth Management pulls wealth teams from Morgan Stanley, and Citi hires a wealth lending head from Goldman Sachs.

Is your firm promoting diversified advisors? Can your clients relate to you despite cultural differences? Those questions and more were addressed by leaders of top wealth firms and regulatory agencies during FINRA's Diversity Leadership Summit this week.

Its backers should file a lawsuit based on the "very flimsy" exemption for prohibited transactions enabling annuity sales under current rules, an expert says.

Before the injunction, Gary Carruthers is believed to have poached $24.3 million in client assets in breach of a nonsolicitation agreement.

Low interest-rate yields, minimum-asset requirements for investing and higher fees brought lower grades for most of the firms reviewed in an annual study.

The case is the latest example of what Ameriprise paints as LPL's systematic overstepping of bounds in its advisor recruitment.

As Trump makes inroads with Black voters, Harris has narrowed her focus on the historic racial wealth gap.

An LPL vice president testified that 30 former Ameriprise advisors imported client information for accounts with more than $1 billion under management and $16 million in yearly revenue generation.

Modern Wealth also pushes its AUM over $6 billion with an M&A deal, and Americana Partners of Dynasty Financial gets private equity backing.

One of the leading changemakers in the profession is seeking to raise $1,000 per mile for nonprofits focused on increasing access to wealth management.

The Female Advisor Network merged into the Women's Leadership Alliance in an effort to join together around the groups' shared goals.

A lawyer for an 80-year-old claimant whose retirement accounts were drained says he's trying to force firms to do more to prevent scams.

The first Secure Act was a "game-changer for IRAs and Roth IRAs," according to a retirement expert. Here's the compelling case for paying taxes sooner.

LPL Financial also pulls advisors from Raymond James, and Raymond James draws from Merrill. Osaic meanwhile appoints a chief financial officer.

In court response, LPL warns victory for Ameriprise would "chill" advisors' ability to move from one independent broker-dealer to another.

In a recurring pattern, Ameriprise again accuses its industry rival of encouraging a recently recruited advisor to "harvest" and bring over confidential client information.