Portfolio

The hearing last month explored the legal process for enforcing the fiduciary duty of retirement plans to avoid excessive recordkeeping fees.

Former UBS employee Cody Rice acknowledges that his politics and personal traits made him an outlier in the ESG world. But that, he says in a lawsuit, was no excuse for the treatment he received.

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would receive compensation for lending out their brokerage holdings.

Opportunistic competitors anticipating trades are swooping in first, moving prices, according to a recent study.

For financial advisors, the hardest part of soliciting and posting SEC-compliant reviews can be overcoming reluctance on the compliance end.

Young athletes are raking in as much as several millions of dollars a year, but the nascent legalized pay for student-athletes needs reforms, a new study said.

Advisors say they are watching these changes closely, making portfolio adjustments where needed and generally reassuring nervous clients that they have planned for this sort of volatility.

The Zurich-based bank is in the midst of overhauling its U.S. wealth business with a greater priority on mass affluent clients and lower costs.

The can-do work ethic of the firm's northeast divisional president took him across the country multiple times — and to the top of the profession.

A new survey from Prudential predicts how the new generation's future will look, and what kinds of financial challenges this will create.