Judge rules the Patriarch CEO improperly granted herself permanent control of three firms within Zohar funds managed
Patch systems promptly, train employees regularly and prepare for the worst.
Technology is making it easier, and cheaper, for advisers to trade many shares without holding funds.
Finra was investigating whether he engaged in prohibited sales activities.
16,000 advisers will be able to leverage tech platform to coordinate holdings for each household
Advisers on RightCapital's financial and tax planning software can pull client data directly from Envestnet's tool.
Recruiters say Merrill Lynch, like Morgan Stanley and UBS, has already moved away from the traditional recruiting model and is more apt to leave the protocol than Wells Fargo.
Lincoln Financial Network has moved all of its clearing business to Fidelity, and will partner with the firm on fintech developments.
Millions could not access online trading accounts Wednesday morning, but institutional clients remained unscathed.
<i>InvestmentNews</i> research delves into software, tools, robo-advice and big data to discover priorities of independent broker-dealers this year and in 2018.
Taking a stand might clear your conscience, but doing so also might involve tough career decisions.
Trailblazing women's advocate gives $100,000 to a new gender diversity fund.
Advisers can empower people to ask for better compensation packages
Owners of marketing firm Platinum Advisor Strategies deny trying to terminate Robert Sofia without compensation.
Technology and regulatory pressures are pushing advisers toward model marketplaces.
White House and the bureau itself both say the law is on their side over who gets to name new chief.
Spending growth at mom-and-pop businesses has outpaced that of the big chains in the past two years.
Messaging can take many forms, but it's not sales and you must know your audience.
Many expect to sell their business to fund retirement, yet aren't preparing properly to do so
Firm failed to fingerprint 95% of its non-registered personnel.
