While it has sidestepped a public trial, an ex-analyst’s case renews scrutiny of how far junior bankers are pushed on live deals.
Meanwhile, Janney lands a billion-dollar team from Merrill in Delaware, and two longtime Edelman advisors hopped to Prime Capital Financial in the Northeast.
Retirement head tells InvestmentNews that Roth Rules, compliance reform and converging advice models redefine retirement planning in 2026.
New report highlights evolving litigation landscape including AI disclosures, ESG accountability claims.
Secret “Q system” ledger, 10‑year clawback and tough bans put schemers on notice
As the OpenArc litigation drags on, Merrill Lynch is absorbing another recruiting blow with a $1 billion advisor team defecting to Janney Montgomery Scott.
Trade group urges regulators to loosen investment restrictions and clarify ERISA rules for new child savings vehicles.
Shaping Wealth has also added a seasoned fintech veteran to its own C-suite, while Nitrogen unveils an AI agent alongside other updates to enhance client meetings.
As complexity in wealth management surges, advisory firms that pair intentional change management with smart technology will gain a decisive edge.
Former senior advisor at Wall Street firm tells InvestmentNews how large organizations have limited ability to adapt to evolving landscape.
False contract claims, inflated leasing numbers, and millions in fees investors never knew about.
The guaranteed returns stopped. The excuses didn't.
Governor outlines a push for greater transparency in bank supervision and capital rules, signaling potential impacts for lending conditions, financial markets and investor stability.
Strategic backing delivers capital, infrastructure and institutional resources for growth for former UBS advisors.
New suite targets long-standing pain points around risk modeling, data reconciliation, and advisor competency in digital assets.
Jump and Avantos each raised big funding rounds this week, marketing themselves as “AI-native operating systems” for advisors at top RIAs and custodians—counting Mercer, Merit, Focus Financial Partners, SEI and Vanguard as early adopters.
It's the era when artificial intelligence software is replacing back office jobs.
Scott Brown’s will oversee Morningstar Direct, data feeds, and advisory tools as the firm continues to build unified intelligence around public and private market analytics.
Also, Orion and Nitrogen have each announced strategic integration updates that could strengthen their support for retirement-focused advisors.
Deal expands retirement plan consulting reach while keeping staff, clients and services intact ahead.
