Rep-owned B-D pays $1 million to ripped off clients

Rep-owned B-D pays $1 million to ripped off clients

United Planners' Financial Services of America failed to supervise its salesman, according to Arizona.

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Can you have too many custodians?

When going RIA, should you have one, two or eight custodians? Advisors share their experiences.

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Showcasing and celebrating top-class honors with InvestmentNews Awards Employer of Choice winner Prudential

Prudential Advisors embeds best practices in creating an outstanding advisor experience.

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Siemens 401(k) lawsuit latest over forfeited assets

Numerous others, including Bank of America and Nordstrom, are also facing proposed class actions.

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VIDEO

Long ignored international stocks offer huge opportunities, says Vontobel strategist

David Souccar, international equities portfolio manager at Vontobel, sits down with InvestmentNews anchor Gregg Greenberg to name his favorite foreign stocks.

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The rise of AI in compliance handling

"You need the human being behind the data," insists compliance legal expert.

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Equity partnership is a true partnership

Art Ambarik, CEO of Perigon Wealth Management in California, has overseen over a decade of growth. He reflects on the sanctity of the client-advisor relationship and his priorities.

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How Kamala Harris’s wealth tax plan could hit affluent Americans

The proposal would raise the top income tax rate and introduce a new tax on unrealized capital gains.

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What services do investors value most from advisors?

New Morningstar report sheds light on highly ranked advisor attributes, and which tasks clients would pay top dollar for.

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JPMorgan gets swept up in cash sweep drama

A class-action suit filed against the Wall Street bank is just the latest in a raft of cases alleging too-low interest rates offered to clients.

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IEQ snaps up EPIQ to create $32B family office powerhouse

The two multibillion-dollar RIAs, led by veteran superstars from First Republic and Iconiq Capital, are looking to take several wealth hotspots by storm.

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Social Security creates retirement concerns for over half of Americans

Allianz survey finds persistent gaps and fears around retirement planning across Gen X, millennials, and boomers.

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Avalanche of peak boomer retirements will have “a significant impact,” warns study

Research from the Alliance of Lifetime Income highlights the economic implications of a historic turnover in the workforce.

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Gateway Financial Partners strikes fintech partnership with wealth.com

The fast-growing hybrid RIA affiliated with LPL is building up its estate-planning capabilities through its latest wealth technology alliance.

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Nepsis adds tax savvy with new accounting and advisory leader

Kelly Nanasy comes to the financial advisor and investment management firm with 30 years of experience, including a successful record as a CFO.

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Trump trades are fading amid pro-Harris poll surge

Amid shifting views on the presidential election, traders are looking for protection against stock volatility.

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BofA clients pull out of US stocks as S&P 500 hovers near all-time high

The risk-off rush sparked an offloading out of seven out of 11 sectors, including tech and energy stocks.

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Boardroom diversity slowing amid anti-DEI sentiments at work: report

More than 3 in 4 directors say board conversations about DEI "less thoughtful, balanced, and intentional"

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