Marilyn Booker claims in her lawsuit that senior leaders at Morgan Stanley refused to adopt her plan to address racial bias at the firm and instead terminated her.

Physical space will be reduced, office layouts will be adjusted, and shifts of employees coming in and out of the office will be instituted.

The SEC chairman also introduced a new website for clients to assist them in reading their Form CRS, and said advisors should focus on ensuring rollover recommendations are sound.

Wisconsin-based Summit Street Wealth Management was partly attracted to LPL because of President and CEO Dan Arnold’s history in the bank channel.

The finalists for the 2020 “Wealthies” include 155 companies across 73 categories to be recognized this year at a live, digital awards ceremony.

The state securities commissioners are making a mistake mandating state-registered advisors adhere to the SEC's June 30 deadline to complete the form, according to securities attorney Max Schatzow.

Robert Larkins, a managing director at Raymond James, and his wife, Lisa Alexander, confronted a protester stenciling “Black Lives Matter” in chalk outside his own San Francisco home.

Despite the market losses reaching as high as -34%, advisors say returns will be in the single digits.

More than eight in 10 advisors (81%) believe clients with a financial plan had less discomfort and anxiety during the market volatility, according to an eMoney survey.

The brokerage commits to a pay analysis and a $1 million investment in the National Urban League, among other things.