Staffing

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Finra To B-Ds: Don't Blame Us For Your Back-To-Office Mandates

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The regulator says not to believe firms that blame Finra for calling remote workers to the office.

Caprock Appoints Former NFL Player To Head Strategic Development

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Bennie Fowler III was a member of the Denver Broncos 2015 Super Bowl team.

Gorman To Step Down As Morgan Stanley Chairman At End Of Year

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James Gorman, 65, disclosed his plan Thursday at the company's annual shareholder meeting.

Jamie Dimon Says Succession At JPMorgan Is 'Well On The Way'

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The 68-year-old CEO moved some of his top lieutenants into new senior roles earlier this year.

TradePMR Appoints Patullo Chief Product Officer

by FA Staff

Industry veteran Jon Patullo has spent more than two decades in the advisor technology space.

Black Advisor Group Blasts DOL Independent Contractor Rule

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The Association of African American Financial Advisors said the rule could cost Black advisors clients and jobs.

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.

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.

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.

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.

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