Judge tosses UBS’ attempt to have $1M arbitration award quashed
Intense Life Desires A federal judge has rejected UBS’ longshot attempt to have overturned a $1 million penalty...
Expense Tracking
Edward Jones CEO pay dips 3.5% after mixed year for firm
Edward Jones CEO Penny Pennington’s total compensation fell by a little more than 3% for...
Ex-LPL broker let go for racist directive must pay $820K
A former LPL Financial broker is on the hook for more than $820,000 nearly five...
The 401(k) Rollover Mistake That Cost Me 40% of My Savings
Making a financial mistake is never easy to admit, especially when you’ve built a career...
IRS updates withholding tax estimator for new tax breaks
The Internal Revenue Service has revised its IRS Tax Withholding Estimator to account for changes...
3 top tax questions clients are asking this filing season
The 2026 tax filing season is giving financial advisors an early look at how taxpayers...
Building an RIA marketing funnel? Here’s how to do it right
In their initial conversation, a “high earner, not rich yet,” prospective client (a HENRY in...
How does your state rank in retirement savings?
Retirement readiness in the U.S. is far from uniform, with households in some states significantly...
Dynasty accuses Merrill of ‘bad faith’ in fight over FINRA arbitration
Dynasty Financial Partners accused Merrill of acting in “bad faith” in a court filing Thursday...
Ask an Advisor: What client story still haunts you?
Triskaidekaphobia — the fear of the number 13 — has endured for centuries. Though the...