Wealth management

The firm allegedly hired and promoted fewer women than men and paid them less than their male counterparts.

The average retiree may need to save far less than you are currently projecting.

The advisor defrauded some 60 victims by using their money to pay off earlier investors, fund his own speculative trading and pay his personal expenses, the SEC claims.

Much of the latest guidance about setting up trusts is overly simplistic and can do a disservice to clients.

Advisors want to help clients discover their "sleep well at night factor" when it comes to cash reserves, one planner says.

The decision, involving advisors who jumped to Morgan Stanley from an RIA, holds that those who agree to give their employers advance notice before quitting aren’t absolved of that duty by the terms of the protocol.

The firm’s new iShares fund comes amid massive outflows from the sector in recent periods.

These emotional topics tend to be bad for investment returns, Barry Ritholtz says.

Treasury yields have fallen in response to tariffs imposed by the Trump administration, making defensive sector holdings more attractive.

Although the rules have become more lenient, high-income clients must not be complacent.

Most advisory firms are not systematically spreading public awareness of their services. That’s a big mistake.

Simple readiness strategies can insulate you from protocol fallout.

Experts cite a variety of reasons for the industry’s grim jobs forecast for advisors, but the data reveals much more complexity.

The bank recruited a former executive from Vanderbilt University’s investment office to assume a newly created post directing its third-party manager research efforts.

The firm plans to expand access to its line of low-cost funds to roughly 1,800, including those from BlackRock, Schwab and SSgA.

Earning the designation is a grueling process that can seriously benefit an advisor’s trajectory, but it’s also not a panacea for an ailing career.

The impact of technology on client-facing jobs has been grossly overstated. Their threat to the back office, however, is very real.

DaRayl Davis spent client funds on a luxury mansion, theater tickets and car rentals, federal prosecutors say.

Returns over the past decade have been stellar, but capital preservation is a concern.

The No. 1 independent broker-dealer has grown beyond the wirehouses, but it added about 100 fewer advisors than expected from its major acquisition.