The payoff for pro bono work doesn't show up on the bottom line. It’s in the returns you get from touching someone’s life at a vulnerable moment.
The vast majority of advisers reported having problems finding enough time to focus on business development and client relationships, according to a new study.
Kristi Turchan and Debbie Verker operate as Ascend Wealth Management in Grand Rapids, Michigan.
In an unusual aspect of the investors' claim and subsequent award against First Allied Securities, the $2.66 million in damages requested matched the amount the three arbitrators awarded.
Attending sessions on such topics as budgeting and investing can encourage workers to increase the amount they save in their 401(k)s, an EBRI study shows.
More than 680 financial institutions are asking corporates to report data using the CDP's system.
Businesses and households have become increasingly concerned about avoiding 1970-style price shocks that crimp their spending power, which gives Fed Chair Jerome Powell the leeway to take a hawkish approach.
Firms say technological advances allow them to oversee reps no matter where they work. A compliance expert cautions that the best evidence of malfeasance is found on site.
As inflationary pressures mount, retirement savers are looking for solutions that offer growth opportunities while limiting downside risk.
Financial advisers are going to need to assume an even greater leadership role amid the current volatility and uncertainty, because during a crisis, clients aren't looking for a fiduciary.
Fintechs are buying books of business and hoping in-house tech stacks are enough to entice financial advisers to come on board.
That proposal, which asks the company to report data on median and adjusted pay gaps, was approved by 59% of shareholders that voted by proxy.
The hiring push comes after Merrill and Bank of America reported a 6.3% decline in financial adviser head count last year.
With most broad market indexes nestled into correction territory, financial advisers are steering clients toward Roth conversions in a tax management move.
The firm's applications related to the DoubleLine Opportunistic Bond ETF and the DoubleLine Shiller CAPE U.S. Equities ETF have been granted 'effective immediately.'
Recession odds in-line with 20%-35% implied by yield curve due to soaring oil prices and fallout from war in Ukraine.
Every ETF focused on Russian stocks will soon be suspended, a kind of shutdown that never resulted from previous events like the Arab Spring or even Covid.
The agency 'has serious concerns about the prudence' of exposing plan participants' retirement savings to investments that carry 'significant risks of fraud, theft, and loss.'
Firms need purpose-built tools to manage their discovery responsibilities as the emergence of Slack, Zoom, Microsoft Teams and other communication channels has made e-discovery far more complex.
James Iannazzo, who's facing three charges as a result of the incident in January, seeks to plead not guilty and be put on probation for up to two years.
