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UBS plans to cut over half of Credit Suisse employees
Banks, traders and support staff in Credit Suisse's investment bank in London, New York and some parts of Asia are expected to bear the brunt of the cuts.
How to normalize allyship
Here's how men can step up and into allyship. It's not that hard.
Procyon Partners adds two advisors managing $600 million
Frank McKiernan and Jerry Sneed are joining Procyon, a Dynasty Financial network firm, from Baker Tilly Wealth Management.
Not enough rookie advisors to go around, Cerulli says
Financial advisor head count grew by just 2,579 advisors in 2022, while the failure rate among rookie advisors was more than 72%, according to a Cerulli study.
Edward Jones quartet in Wisconsin jumps to LPL
The four advisors control $400 million in client assets and their Elkhorn-based firm is called Omnia Wealth Group.
Memo to young advisors: Know the cost of a client
The opportunities for younger financial advisors to increase the value of their practices couldn't be better.
10 banks that retail customers rank highest for financial advice
Consumers dealing with inflation and market volatility would appreciate guidance from their bank, but few say they’re getting that, according to a new study from J.D. Power.
Bank of America earns highest marks for retail bank financial advice: J.D. Power
However, most retail banks are falling short of customers' expectations when it comes to the advice and guidance they get from their banks.
SEC fines JPMorgan $4 million for deleting electronic communications
A vendor improperly destroyed 47 million electronic communications, including emails and instant messages, from 8,700 inboxes.
SEC bars RIA chief compliance officer previously found guilty of fraud
Jennifer Campbell was office manager and chief compliance officer for a registered investment advisor in Buffalo, New York.
Charging clients fees based on planning rather than AUM works ‘beautifully’ for advisor
Although AUM fees still dominate, other models — such as planning, subscription, monthly and hourly fees — are gaining traction, according to IN's goRIA panelists.
Execs call for mandatory reporting of employee well-being metrics
Some 85% of C-suite executives believe that organizations should require mandatory reporting of well-being metrics, according to a study.
How retirees and pre-retirees can benefit from high interest-rate environment
Clients can explore savings strategies and financial products with higher risk-free returns and alternative fixed-income investments.
Forget Advisor Group. It’s now Osaic
While the giant network of 11,000 brokers and advisors has announced its new name, the process of rolling its eight firms into one will take up to two years.
AI: It’s more personal than you think
Artificial intelligence stands to positively impact advisory firms' relationships with their clients by fostering more personalized experiences.
What advisors need to know about estate planning for LGBTQ couples, individuals
In the absence of proper estate planning, there's a risk that LGBTQ individuals' intentions may not be respected.
Finra warns brokerages to pay attention to rising cybersecurity threats
The broker-dealer self-regulator highlighted a recent government advisory about a ransomware attack and told member firms to brush up on Finra's guidance on the topic from last December.
Finra suspends financial advisor facing child sex charge
Thomas Vernor is based in Huntsville, Alabama, and started in the securities industry in 1984 at Morgan Stanley Dean Witter.
More than just a number
Pay equity in the advisory industry might seem like a straightforward proposition. It isn’t.
Twitter struggles to match engagement found on other networks, study finds
For advisors, LinkedIn and Facebook were far better for generating interactions than Twitter.
