Eversheds Sutherland's review of public reports found that Finra's monetary sanctions totaled $72 million last year, down from $150 million in 2021.
Several unique elements affect women advisors' planning, including a greater focus on the established relationships between staff and clients and on the maintenance of culture within their practice.
Grayscale sued, asking the DC Circuit Court to overturn a decision the firm called arbitrary and discriminatory because the agency had already approved ETFs that track bitcoin futures.
The 25-year industry veteran and managing partner of Merchant Investment Management works extensively with RIAs.
The $1.5 million award to two investors follows a $36.7 million loss for Oppenheimer last September in a dispute involving the Horizon Private Equity III fund.
More than 40% of women believe the US is currently in a financial crisis, with another 24% believing that it is nearing one, according to a Nationwide survey.
Richard Weisberg will operate as Weisberg Wealth Management in Naples, Florida.
The president's proposal, which would also give the government new power to negotiate drug prices, would extend the solvency of the Medicare trust fund beyond 2050, the White House says.
The expansion of the map over the last five years shows the innovation that's occurring in the fintech sector and the many choices available to advisors.
The identical twin brothers overbilled for advisory fees and used their clients' credit cards and bank accounts to finance luxury hotels, jewelry and apparel.
The core group of Angie Ostendarp, Jordan Raniszeski and Mary Sherrill Ware is joined by Mitch Mayfield and Jeff Vandiver.
Ameriprise jumped into the bank broker market in 2017 when it acquired Investment Professionals Inc.
Ralph Hamers received $13 million for his second full year in the job while the overall bonus pool for the rest of the firm was cut 10% to $3.3 billion.
Advisors and clients will see a flurry of coveted tax breaks come and go in the next three years. Here’s how to keep track.
The political makeup doesn’t bode well for passing major tax legislation — and a bill that imposes a specific levy on billionaires would be substantial.
Plus, BetaNXT acquires Mediant Communications, Advisor360 hires a tech executive from Amazon Web Services, and InvestCloud innovates asset management distribution.
Critics say Morgan Stanley's big launch of six Calvert ETFs was poorly timed in an environment where ESG has become a political football.
A study by the Employee Benefit Research Institute shows that relatively few account holders invest their funds in assets other than cash, although the number who do so is increasing.
As a management tool, compassion is hard to execute and easy to love.
The SEC chairman said using predictive data technologies may create 'inherent conflicts' of interest for investment advisors.
