JPMorgan accused a former bank branch advisor who left for Ameriprise of using confidential client information…
Tag: advisor
Former Wealth Enhancement Advisor Sentenced for $2.25M Elder Fraud
A federal judge sentenced a former Wealth Enhancement advisor to more than 10 years in prison…
Angeles Wealth Management Recruits Former Ellevest Advisor as Partner
Angeles Wealth Management, a registered investment advisor with about $2.4 billion in assets, announced the firm…
Advisor Trio Departs Procyon to Launch Own RIA
Three Westport, Conn.-based financial advisors are leaving Procyon Partners, the Dynasty- and Constellation Wealth Capital-backed registered…
Advisor Pleads Guilty in $35M Ponzi Scheme
A self-proclaimed advisor who used an underwater scooter while attempting to flee federal investigators pleaded guilty…
Former Florida Advisor Sentenced to Prison in $37M Tax Shelter Fraud Case
A former financial advisor based in Florida was sentenced to eight years in prison and now…
Former Hightower Advisor Moves Discrimination Lawsuit to Illinois
Last summer, Massachusetts-based advisor Glenn Frank filed a lawsuit in his home state against Hightower Holdings…
World’s Iris-Scanning Tech Misunderstood, Data Never Leaves Orb, Advisor Says
Sam Altman’s blockchain project World has sparked controversy in the past due to its use of…
Edward Jones Saw Advisor Increase of 4% in Q1
Edward Jones added 832 financial advisors to its ranks in the first quarter of 2025, a…
LPL on Track for 90% Commonwealth Advisor Retention, Reports Strong Q1 Growth
LPL Financial is “in line” to meet its 90% advisor retention rate goal for Commonwealth Financial…
Ex-Schwab advisor sues over age, sex discrimination
An ex-Charles Schwab advisor is suing her former employer over alleged age and sex discrimination and…
Advisor Recruiter Mindy Diamond Steps Down as CEO
Mindy Diamond, founder of the wealth management recruiting, consulting and executive search firm Diamond Consultants, is…
Advisor confidence rebounds slightly from all-time lows
After reaching new lows last month, financial advisors’ confidence levels have rebounded slightly but remain generally…
Ex-Schwab Advisor Files Discrimination Suit Over Bank Branch Manager’s Alleged Bias
A former bank branch advisor with Charles Schwab is suing the company, claiming it ignored sex…
As the trade war escalates, Hence launches an AI ‘advisor’ to help companies manage risk
President Donald Trump’s tariffs have underscored the increasing geopolitical risk that almost all businesses now face.…