In mass tort cases, the data that plaintiffs firms collect during client intake is needed to understand both the strength of each of their client's claims and the strength of their overall portfolio ...

Client management platforms have become an essential part of an RIA’s tech stack as these tools make it easier to access and update customer information. The Financial Industry Regulatory Authority ...

Charles Schwab is taking one of its former reps to court, accusing him of being a “disloyal employee” who allegedly departed wielding trade secrets on thousands of Schwab clients. Schwab filed a ...

AI isn’t just helping advisors work smarter—it’s also arming fraudsters with frighteningly convincing tools. Jeffrey DeHaan ...

As legal practices increasingly adopt generative AI (GenAI) technologies, protecting attorney-client privilege and client confidentiality has become a pressing concern. Recent data reveals that 81% of ...

Ameriprise Financial alleges a California-based competitor actively recruited away its financial advisers, then instructed those advisers to illegally take Ameriprise client information. The ...

Onboarding new clients is a notoriously onerous and time-consuming process for financial advisors, but it’s necessary for a successful relationship. Here’s how to make sure you’re gathering the right ...