See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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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.
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.
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.
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.