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Staffing

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Broker Sues Vantage Capital Alleging Discrimination Over Cancer

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She alleges the firm coerced her into quitting her job after her illness.

Why Advisory Firms Fail Women Advisors

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How the industry can evolve and let females move up the ladder, according to the Carson Group.

Diversity Should Still Be A Hiring Goal

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A panel of financial industry professionals said advisors need to get out of their comfort zone when hiring.

Young Advisors To Watch In 2024

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Our ninth “Young Advisors” list shows that advisors can win clients by showing individuality and resolve.

It's Time To Prepare For When, Not If, AI Replaces Advisors

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Generative AI is a fast-moving megatrend that will transform the wealth management industry.

New FTC Ban On Noncompete Agreements Raises Questions In Advisor M&A World

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The new rule could allow exiting advisors to actively recruit clients. IAA says it goes too far.

'Peak' Boomer Retirements Will Reduce U.S. GDP By 7.3% By 2030, ALI Study Says

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The financial services industry is projected to lose 761,000 experienced employees during the retirement wave.

Ex-Mass Mutual U.S. Head To Lead Advisor360

by FA Staff

Mike Fanning retired from Mass Mutual Last May after 17 years with the company.

Companies Need To View Worker Benefits As An Investment, Nuveen Says

by FA Staff

A company study suggests that comprehensive benefits increase employee productivity.

Longtime LPL Exec Joins TIFIN As President, Chief Revenue Officer

by FA Staff

Rob Pettman will oversee growth strategies at the Boulder, Colo.-based technology incubator.

The Lowest Pay U.S. Workers Will Accept For A New Job Soars

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The increase was most pronounced for men, younger workers and higher-income workers.

J.P. Morgan Ordered To Pay Broker $250K In Defamation Case

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A Finra panel sided with a broker who claimed the firm defamed him in a Form U5 filing.

Finra Arbitrators May Be Mishandling Broker Defamation Claims, SIFMA Says

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The securities industry group wants Finra to reform how it handles broker termination disputes.

Ron Carson Steps Down As CEO Of $35B Carson Group

by FA Staff

Carson will hand the reins to the investment advisory firm he founded to former LPL executive Burt White.

Thrivent, Capital Group Get Five Stars On 'Best Workplaces For Women' List

by FA Staff

A dozen financial advisors and investment managers made the Newsweek list.

Acquired RIAs See Client, Advisor Attrition Accelerate

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Staff turnover has an insidiously harmful effect on advisory firms.

Billionaire Steve Cohen Sees Four-Day Work Week Coming

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It's one of the reasons the Point72 founder said he's made investments in golf.

Advisors Expand As Clients Ask For ... Everything

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Some advisors are responding to increasing client service demands by buying up other firms.

Northwestern Mutual Penalized $8M For Alleged Wrongful Termination

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Three brokers who worked for the company in Abington, Pa., shared the Finra award.

Fidelity's Abby Johnson Tightens Grip On Far-Flung Family Empire

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A decade into her reign, Johnson is reasserting control over the fund giant's London outpost. Heads are rolling.

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