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Principal on the hook for up to $5M related to alleged churning
A Minnesota-based foundation's lawsuit against the firm centers on an unnamed ex-broker's alleged churning of variable annuities.
Washington advisor sues Hightower over noncompete language
The firm is facing a fresh challenge over alleged 'overly broad' and 'illegal' noncompete agreements.
Mutual funds, ETFs are taking a smaller bite out of returns as expense ratios fall
2023 continued a long-term trend of decreasing expense ratios.
Former head of BlackRock’s $1T US wealth management business joins specialized firm
Frank Porcelli has a new role at a private credit and secondaries investment firm.
US heavy industries to get billions in decarbonization grants
More than $6B could be awarded to projects that cut emissions.
All kinds of B-Ds, not just the giants, are making deals
'Those offers from smaller firms don’t always get as high as those from the bigger players, but they are pretty darn close,' says a recruiter.
Pensionmark announces strategic partnership to build new wealth management platform
The firm is working with Vestmark to help shape the industry's future.
Apollo Global reportedly offering $11B for Hollywood studio
Private equity firm is said to want Paramount Global's studio operations.
Americans still flunking financial literacy
Financial education provider’s latest annual test results show marginal improvement among younger takers, with less than half passing.
More clients making wealth transfer plans a family affair
Edward Jones research gives an advisor-eye view of shifting trends in wealth transfer conversations and clients’ planning priorities.
RIA gold rush fever is over: Report
'What’s missing in most cases of deals is that firms aren’t integrating the RIAs they are buying,' Mark Tibergien says.
Citi taps former UBS exec to head family office unit
The firm is tapping the veteran business-builder and reshuffling key members of its wealth unit as it looks to bolster its UHNW division.
DeVoe & Co. names new marketing head
The RIA-focused consultancy’s executive hire joins with more than 20 years of experience.
Citi pays Andy Sieg $11.3M for first 3 months as wealth head
The size of award underscores Citi's desire to overhaul its struggling wealth division.
Bank customers are concerned about overregulation: ABA report
A banking industry survey reveals a high satisfaction with financial institutions.
How much can you make working for a crypto firm?
US is most generous with six-figure compensation packages.
Why pre-retirees with a plan are better off in retirement
T. Rowe Price report reinforces benefits of formal financial planning on retirement wealth, confidence, and more for 401(k) participants.
Raymond James taps Paul Reilly’s successor
Company announces only the fourth chief executive in its history.
B-D network Wentworth closes deal to go public
Using the company's stock creates opportunities for financing deals, CEO says
With $67T in liquid assets, US stays on top of the world
Report details top cities for centimillionaires and billionaires, including wealth hot spots to watch and real estate leaders.
