One broker used client funds to pay expenses, while another used client cash to buy real estate.
InvestmentNews board member Dr. Benjamin Akande, a distinguished economist, shares an inspiring message.
Both clients and advisors are seeking assurance that solutions implemented today will remain effective and achievable in the future.
Architect aims to make alts a core element of portfolios rather than a satellite component.
From teaching inmates financial literacy to working with divorced women, CFP Board's initiative is resonating with advisors.
The payment platform brings on fintech veteran Alex Sauickie, who plans to help expand services to banks and broker-dealers.
The platform automates processes such as new account onboarding, portfolio recommendations, and personalized financial planning.
Naratil, a 39-year veteran of UBS, last fall stepped down from his senior roles at the wirehouse.
Meanwhile, Cetera is offering tailored retention bonuses to Securian advisors who manage offices.
The peer-to-peer trading digital asset trading platforms are struggling to achieve their decentralized dreams.
The egregious case of Jamie Worden and the continuing issue of unpaid arbitration awards.
More job cuts to come, meanwhile JPMorgan is hiring.
Six startups and Pershing X will demonstrate how their products can solve real problems for advisors.
Should the SEC turn to a third-party organization to help it increase the number of exams?
Miller will succeed the current chair-elect Matt Boersen next year and will subsequently ascend to chair of the Board in 2025.
Having a capital markets division in-house gives financial advisors the opportunity to access high-quality transactions for their clients.
What financial services firms need to know about the risks of scraping software versus the benefits of an API-based integration.
Many of the top US fund companies have exposure to companies that make controversial weapons, As You Sow found.
Yields on cash offerings are higher in current market conditions, a trend that has attracted investors' attention.
The firm has given its support to the National LGBT Chamber of Commerce and the LGBTQ+ advisor business community.
