Eliminating paper processes can reduce error rates, driving efficiencies for the firm and improving the customer experience.
Four years after being fired for sexual misconduct, Daniel Michalow wins his defamation case against the $60 billion hedge fund.
On the second anniversary of its going into force, the SEC chief is trying to get the most out of a rule he inherited.
Fintech company Pontera is continuing its partnership spree in hopes of giving more financial advisers the ability to manage client assets in held-away retirement accounts.
The award contains two unusual features: $500,000 in punitive damages to the clients and a two-to-one split decision among the three-person panel.
More than 87,000 employers have already registered for CalSavers, which launched in 2019.
Congress continues to ignore the fact that Social Security's trust fund is expected to run out of money in 2035, which would result in a 20% cut in benefits.
Jon Burnett, Daniel Fowler and Chad Carlile have joined the firm’s independent adviser channel.
The regulator found that the listing proposal didn’t do enough to prevent fraud and manipulation.
The agency said UBS reps didn't understand the complex product or whether buying it was in a client's best interests.
The acquisition diversifies Prime Pensions' client base and extends its geographic presence.
Spuds Powell defies popular thinking with the niche client base he's built, one that he says makes both him and his clients happy.
The review by Lowenstein Sandler gives no credence to a Georgia judge's critique of Finra's process for selecting arbitration panelists.
Firms are supposed to begin tracking data such as customers’ capital gains and losses starting in January.
The downward trend in the expense ratios that 401(k) plan participants incur for investing in mutual funds continued in 2021.
Don't assume that clients intend to spend their principal in retirement.
The asset management firm will change its name this fall to Raymond James Investment Management.
Smaller B-Ds and independent RIAs give advisers a platform for more strategic growth as well as a more attentive and supportive environment.
Advisers weigh in with their suggestions for the lucky individual who has the winning ticket for the Mega Millions drawing.
Style often trumps substance for personal finance commentators on social media platforms, though some are blending the best of digital and traditional advice
