A New York life insurer is taking one of its former advisors to court, and the case is a sharp reminder of how seriously the ...

Advisors who depart for other firms have no right to client data in books of business built using bank referrals, JPMorgan argues in a new lawsuit seeking a restraining order against a former advisor ...

For the third time in three months, JPMorgan is suing one of its former branch-based advisors after alleging he's trying to take his book of business to a rival firm. According to the complaint, ...

Christopher Dewdney, a certified financial planner at Dewdney & Co., found a seller who shared his Jamaican heritage ...

Some of the best advice that financial advisors give clients—and colleagues—is to read a book. Advisors have long recommended titles that can broaden perspective and help drive success of both the ...

Background: Kayvon Sarmadi launched his career as a solo advisor at just 23 years old—an unusually young age in a post-financial crisis industry. “I had to beg the firm for an exception,” he says. “I ...