Advisor Wellness

AI Not Ready to Replace Human Professionals

AI may be transforming the way firms operate, but according to new research, it’s far from ready to replace human professionals.

Financial Advisors, RIAs, and Broker-Dealers to Weigh in on Federal Rules

Trump administration’s latest deregulatory push opened the door for financial advisors, RIAs, and broker-dealers to weigh in on which federal rules.

Former Morgan Stanley Financial Advisor Permanently Barred From Industry

Joseph Eisler, a former financial advisor with Morgan Stanley, has been permanently barred from brokerage industry by FINRA.

Investors Haven’t Been This Bearish in 30 Years, BofA Poll Shows

Investor sentiment regarding economic prospects is the most negative in three decades.

Former Morgan Stanley Advisor Sentenced To 12 Years In Federal Prison

A former Morgan Stanley wealth advisor has been sentenced to 12 years in federal prison for orchestrating a multimillion-dollar fraud scheme.

Relaxing Standards for Past Offenses - CFP Board Looks to Decide

CFP Board is seeking public comment on a proposal that would streamline the ethics review process for candidates applying for the CFP designation.

Banned Broker Facing Charges For An Alleged Ponzi Scheme

A former broker banned from the securities industry now faces 22 criminal charges tied to an alleged Ponzi scheme that defrauded investors of $1.2M.