Senators Ask Wells Fargo CEO to Explain Alleged Fraud Cover-Up
Six members of the Senate Banking Committee are inquiring about reports that the bank shredded and forged documents to hide fraud.
New Tech Scam Warning Shows How Vulnerable We Are
Clients — or advisors themselves — might fall prey to a new, clever telephone fraud.
Study Finds Parent-Child Disconnect on Discussing Estate Plans
Fidelity has introduced an online tool to facilitate the estate planning process.
Robo Clearing Firm Apex Taps Envestnet's Fiske to Head Retail Ops
Ron Fiske joins Apex, which clears for robo-advisors like Betterment, from Envestnet and will head its retail operations.
Betterment Now Offers Human Advice, Restructures Fees
The largest independent robo-advisor now offers 3 services: digital, digital plus and premium.
Piwowar Named Acting SEC Chairman
With former SEC chief White's departure at the end of the Obama administration, the SEC now has two commissioners.
How to (Legally) Settle Disputes With Clients
These are the essential points in resolving a client dispute without suiting up for court or arbitration.
Americans’ Financial Satisfaction Dips Slightly in Q4: AICPA
But the accounting group's report still found satisfaction was up from a year ago.
How President Trump’s Conflicts Can Help RIAs
The issues around the president's conflicts of interest can serve as a wake-up call to clients unaware of their broker's conflicts.
What Morgan Stanley, Wells Fargo and Merrill Lynch Have in Common
For one thing, they are all examples of why investors need independent advisors.