FINRA likely doesn't have the authority to "unilaterally" expel brokerages it claims have engaged in misconduct, a federal appeals court ruled, in a case that Wall Street is watching closely.

Financial Planning Magazine

23.11.2024

Bank America recruits $7B private bank team from Citi | Financial Planning

Bank of America draws a big private bank team from Citi, and Fifth Third hires from Truist, and Morgan Stanley from Merrill.

Financial Planning Magazine

23.11.2024

SEC reports record $8.2B haul for fines | Financial Planning

As SEC Chair Gary Gensler leaves the agency, it's set to bring in a record $8.2B in fines.

Financial Planning Magazine

22.11.2024

UBS plans pay cuts for sub-$750K producers | Financial Planning

UBS is reducing pay substantially for sub-$750K producers and making smaller reductions for advisors on the higher end of the scale.

Financial Planning Magazine

22.11.2024

Gensler to step down from SEC in January | Financial Planning

SEC Chair Gary Gensler announced he'll step down on Jan. 20.

Financial Planning Magazine

22.11.2024

From independent RIA to Carson partner: Show Me Your Stack | Financial Planning

The founder of Mitlin Financial affiliated his firm with Carson Group — and has reaped tech benefits.

Financial Planning Magazine

22.11.2024

Wells Fargo loses its head of advisor recruiting | Financial Planning

Wells Fargo's head of financial advisor recruiting says "goodbye" after less than a year on the job.

Financial Planning Magazine

21.11.2024

Goldman Sachs offers à la carte family office services | Financial Planning

Goldman Sachs offering family office services to wealthy clients in an à la carte fashion.

Financial Planning Magazine

21.11.2024

'FIRE' ETFs catering to retire-early strivers make their debut | Financial Planning

Two new ETFs, the FIRE Funds Wealth Builder ETF (FIRS) and FIRE Funds Income Target ETF (FIRI), cater to the growing FIRE movement.

Financial Planning Magazine

21.11.2024

LPL's AI Advisor Solutions includes four popular vendors | Financial Planning

Jump, Microsoft 365 Copilot, FMG Mobile and FactSet now available to LPL Financial's advisors.

Financial Planning Magazine

21.11.2024

RIA Leaders 2024: Top 20 firms by AUM | Financial Planning

Find the rankings of the 20 largest fee-only RIAs based on their 2024 assets under management in Financial Planning's RIA Leaders study

Financial Planning Magazine

21.11.2024

Ask an advisor: How can I Trump-proof my finances? | Financial Planning

A worried social worker asks financial advisors how to protect her retirement savings from the economic policies of Donald Trump.

Financial Planning Magazine

21.11.2024

5 ways to grow your RIA with AI — and 5 caveats | Financial Planning

Firms need AI-driven tools to capture the great wealth transfer's digital-first prospect base — and they need employees with the skillsets to use them.

Financial Planning Magazine

21.11.2024

RIA Leaders 2024 list of the 150 largest fee-only RIAs | Financial Planning

Get a PDF of the 150 largest fee-only RIAs for 2024 based on their AUM as part of Financial Planning's RIA Leaders study.

Financial Planning Magazine

21.11.2024

401(k) fees hard to understand, GAO report finds | Financial Planning

A government watchdog reports that Labor Department regulations haven't made much of an impact on the levels of disclosure and comprehension.

Financial Planning Magazine

20.11.2024

Quad-A appoints Alex David chair | Financial Planning

Explore how the Association of African American Financial Advisors supports Black financial advisors' careers with Chair Alex David

Financial Planning Magazine

20.11.2024

Robinhood to buy TradePMR in push for wealthy clients | Financial Planning

Robinhood will buy TradePMR, a custodial and portfolio management platform for registered investment advisors, as the online brokerage targets high net worth investors.

Financial Planning Magazine

20.11.2024

How consolidation is testing fiduciary duty in RIAs | Financial Planning

Explore how financial planners say the record growth of RIAs is testing their fiduciary duty to put clients' best interest first

Financial Planning Magazine

20.11.2024

How Robinhood's TradePMR acquisition changes the industry | Financial Planning

Experts say Robinhood's acquisition of TradePMR will have far-reaching effects on wealth management.

Financial Planning Magazine

20.11.2024

What Trump will mean for financial regulation | Financial Planning

What next head of the SEC under Donald Trump is likely to mean for crypto, AI and private markets.

Financial Planning Magazine

19.11.2024

Asset managers bet on grid stocks to defy Trump's anti-ESG era | Financial Planning

Even if Donald Trump's second term spells trouble for climate-minded stocks, analysts say investing in energy infrastructure is still a safe bet.

Financial Planning Magazine

19.11.2024

Morgan Stanley wealth head downplays recruitment | Financial Planning

Morgan Stanley Head of Wealth Management Jed Finn sees more growth coming from reinvestments than big recruiting deals.

Financial Planning Magazine

19.11.2024

Zeplyn raises $3M for its AI assistant for financial advisors | Financial Planning

New York-based Zeplyn has raised $3 million in seed funding for its AI assistant for financial advisors.

Financial Planning Magazine

16.11.2024

LPL and RBC take big teams from US Bank and Kestra | Financial Planning

LPL, RBC Wealth and UBS pick up teams this week. Morgan Stanley and Edward Jones look to house advisors in midtown Manhattan.

Financial Planning Magazine

16.11.2024

Going full-RIA with a brokerage in wealth management | Financial Planning

Financial advisors are going full RIA using independent wealth management firms also registered as brokerages

Financial Planning Magazine

16.11.2024

Morgan Stanley sues ex-adviser now at Raymond James | Financial Planning

Morgan Stanley turns to court to stop a former advisor from allegedly trying to poach clients for his team now at Raymond James.

Financial Planning Magazine

16.11.2024

What Trump's election, Fed rate cuts mean for small caps | Financial Planning

The news that Republican Donald Trump had been reelected to the office of president had an immediate positive effect on the stock market, especially small-cap stocks.

Financial Planning Magazine

15.11.2024

Trump threatens ESG investing that thrived during first term | Financial Planning

ESG was seen as a counter Trump's presidency eight years ago. The story has changed.

Financial Planning Magazine

15.11.2024

No need for private equity, says new RIA | Financial Planning

A new RIA looks into the "foreseeable future" and sees no reason to join a private equity-supported aggregator.

Financial Planning Magazine

15.11.2024

Fidelity, Invesco: 10 best, worst-performing large-cap funds | Financial Planning

Large-cap funds have shown strong performance, often driven by "Magnificent 7" stocks — some of the world's largest companies benefiting from advances in AI.

Financial Planning Magazine

15.11.2024

What young financial advisors get wrong about the RIA equity | Financial Planning

How financial advisors on the partnership track can accurately assess the risks of investing in a well-run, growth-minded registered investment advisory.

Financial Planning Magazine

15.11.2024

Experts on the best behavioral onboarding for clients | Financial Planning

Behavioral finance and therapy guide helps financial planners onboard new wealth management clients through psychological methods

Financial Planning Magazine

14.11.2024

Medicare Part B premiums are outpacing Social Security COLA | Financial Planning

Premiums for Medicare Part B will rise twice as fast as Social Security's cost-of-living adjustment (COLA) in 2025.

Financial Planning Magazine

14.11.2024

Morgan Stanley looks to IPOs to mine AUM | Financial Planning

Morgan Stanley looks to ride a predicted IPO wave by managing stock plans for newly minted public companies.

Financial Planning Magazine

14.11.2024

Dislike, unsubscribe: Advisors on combating finfluencers | Financial Planning

A recent Social Capital Markets report found that 71% of social media financial advice is misleading.

Financial Planning Magazine

14.11.2024

Bryan Advisory Services ordered to pay for U5 defamation | Financial Planning

Form U5 financial advisor defamation case results in a giant verdict against RIA firm Bryan Advisory Services

Financial Planning Magazine

13.11.2024

Does gold make sense for client portfolios in 2025? | Financial Planning

Whether in coins, bars, gold-linked ETFs or IRAs, investing in gold (and other precious metals) has never been easier — making a planner's guidance crucial.

home›Financial Planning Magazine›Economy

Financial Planning Magazine - Economy

LGBTQ financial planning for second Trump administration | Financial Planning

Clients want more from financial services apps, websites | Financial Planning

Charles Schwab eyes spot crypto trading once regulations change | Financial Planning

FINRA dealt blow by court in its power to expel brokerages | Financial Planning

Bank America recruits $7B private bank team from Citi | Financial Planning

SEC reports record $8.2B haul for fines | Financial Planning

UBS plans pay cuts for sub-$750K producers | Financial Planning

Gensler to step down from SEC in January | Financial Planning

From independent RIA to Carson partner: Show Me Your Stack | Financial Planning

Wells Fargo loses its head of advisor recruiting | Financial Planning

Goldman Sachs offers à la carte family office services | Financial Planning

'FIRE' ETFs catering to retire-early strivers make their debut | Financial Planning

LPL's AI Advisor Solutions includes four popular vendors | Financial Planning

RIA Leaders 2024: Top 20 firms by AUM | Financial Planning

Ask an advisor: How can I Trump-proof my finances? | Financial Planning

5 ways to grow your RIA with AI — and 5 caveats | Financial Planning

RIA Leaders 2024 list of the 150 largest fee-only RIAs | Financial Planning

401(k) fees hard to understand, GAO report finds | Financial Planning

Quad-A appoints Alex David chair | Financial Planning

Robinhood to buy TradePMR in push for wealthy clients | Financial Planning

How consolidation is testing fiduciary duty in RIAs | Financial Planning

How Robinhood's TradePMR acquisition changes the industry | Financial Planning

What Trump will mean for financial regulation | Financial Planning

Asset managers bet on grid stocks to defy Trump's anti-ESG era | Financial Planning

Morgan Stanley wealth head downplays recruitment | Financial Planning

Zeplyn raises $3M for its AI assistant for financial advisors | Financial Planning

LPL and RBC take big teams from US Bank and Kestra | Financial Planning

Going full-RIA with a brokerage in wealth management | Financial Planning

Morgan Stanley sues ex-adviser now at Raymond James | Financial Planning

What Trump's election, Fed rate cuts mean for small caps | Financial Planning

Trump threatens ESG investing that thrived during first term | Financial Planning

No need for private equity, says new RIA | Financial Planning

Fidelity, Invesco: 10 best, worst-performing large-cap funds | Financial Planning

What young financial advisors get wrong about the RIA equity | Financial Planning

Experts on the best behavioral onboarding for clients | Financial Planning

Medicare Part B premiums are outpacing Social Security COLA | Financial Planning

Morgan Stanley looks to IPOs to mine AUM | Financial Planning

Dislike, unsubscribe: Advisors on combating finfluencers | Financial Planning

Bryan Advisory Services ordered to pay for U5 defamation | Financial Planning

Does gold make sense for client portfolios in 2025? | Financial Planning

home
›
Financial Planning Magazine
›
Economy