Industry

The judge overseeing the sentencing of Anthony Diaz said he showed little remorse during his Jan. 2020 jury trial.

A succinct summary of mergers, acquisitions and movement in wealth management for the week ending March 26.

Michael Barry Carter pleaded guilty last July to fraud for making unauthorized fund transfers out of client accounts.

Over the next five years, JPMorgan will partner with various historically black colleges and universities to offer students resources and information about careers in wealth management.

The Morgan Stanley–recommended law firm that represented the transitioning advisors told them their nonsolicit agreements with Schwab were unenforceable, according to their lawsuit against the lawyers.

The Financial Planning Association launched a new knowledge circle to focus on issues unique to the Asian American and Pacific Islander communities.

The SEC claims Ronald Frank Stevenson and Jason P. Wootten unlawfully sold securities in EquiAlt, which has been accused of operating a $170 million Ponzi scheme.

Cynthia Hewitt shares her story of struggling as one of the only female advisors in the industry in the 1970s, and what prompted her to return after two years in retirement.

Kestra is looking for better ways to prevent trust assets from going out the door, with the help of its in-house trust company, Arden.