Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Advisor's Widow to Pay $3.8M Over Husband's Alleged Ponzi Scheme
By Dinah Wisenberg BrinThe deal is tied to the SEC's pursuit of Stephen Romney Swensen's estate in an alleged $29 million securities scam.
August 11, 2025
Ex-Raymond James Advisor Charged With Assaulting ManagerDonald "Chris" Brannock is accused of attacking his wealth firm's managing director in Greensboro, North Carolina.
August 08, 2025
Trade Groups Rally Against New Jersey Indie Contractor RuleThe proposed regulation could reclassify independent financial advisors as employees of their broker-dealers.
August 06, 2025
Ex-Merrill Broker Faces Disciplinary Process Tied to Trading, Sales PracticesAli Chehab wouldn't provide documents, FINRA alleges, and told staff: "I do not care if I get barred."
August 05, 2025
Fidelity Brokerage Says Former VP Took Client InfoAdam Ritter is misusing confidential information to solicit customers to his new firm, a lawsuit alleges.
August 05, 2025
Wall Street Bonuses Are Set to Rise in 2025Demand for wealth managers could see financial advisor payouts rise as much as 5%, according to Johnson Associates.
August 04, 2025
Why Good Advisors Stay Too LongIt's easy for successful professionals to fall into traps that keep them from pursuing new opportunities.
August 04, 2025
Advisor to Lace Up for 24-Hour Hockey MarathonMitlin Financial founder Larry Sprung and one of his sons will participate to raise money for a suicide prevention group.