The Finra penalty included a fine of $200,000 and restitution to clients of $498,000 plus interest.
Counterintuitively, advisers can instill a sense of calm in clients and attract new clients to the firm by inviting a risk-focused conversation into the room.
The Federal Reserve's fight against inflation has turned boring cash accounts into top performers.
Gaining the CFP designation became the fulcrum for a midcareer pivot, but earning it wasn't easy.
The Lucy Shair Foundation for Women in Finance seeks to reduce the gender gap by neutralizing one barrier to establishing a firm of one’s own: lack of seed capital.
It is imperative that we not let women miss out on a profession that can provide purpose, financial stability and a path towards a balanced life.
In the past two years, American women have had a collective epiphany: They want to trade in their current careers for something different and better.
A little effort delivers big results when firms build on-ramps for women who want to re-enter the workforce.
Practices reported significant gains during 2021. But as markets become more volatile, they’ll need to adapt in order to keep growing. Learn where they should focus their efforts—and capital.
The firm will also increase employees' sick days and bereavement leave, according to an internal memo.
The investment firm has tapped Morgan Stanley's wealth management arm as it seeks to raise $6 billion for its next venture fund.
The state is concerned that fee-for-service financial planners aren't aligning their charges with work done for clients. Michael Kitces said the guidance remains biased toward the AUM model.
Panelists at the Women Adviser Summit in New York City say firms need to rethink how they look for new talent if they're serious about increasing diversity in the industry.
Jay Tini joins Ritholtz from Vanguard, where he was divisional sales manager, for his first job at an RIA.
Nearly three-quarters of respondents to a Carson Group survey note that women must juggle professional responsibilities with caregiving obligations.
A seminar offers some insight into what the agency is looking for in firms' compliance with Reg BI and the marketing rule.
The securities watchdog’s order asserted that the rating of a mortgage-backed security deal in 2017 was at issue.
A team of four advisers in suburban New York is making the switch.
The organization is continuing to update its enforcement procedures to align with the revised code of conduct that went into force in 2020.
According to several news websites, Jennifer Campbell had worked at Pratt Collard Buck Advisory Group, a firm in Buffalo, New York, that closed at the end of last year.
