Social media trends among advisers
Feb 9, 2014 @ 12:01 am
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Over an eight-year period, the B-Ds failed to properly supervise sales charge waivers to clients in retirement plans and charitable organizations.
With $243 billion in assets, CAPTRUST continues to grow on its own terms.
Meanwhile, few brokerages and their trade associations, which blasted the DOL's fiduciary rule in comment letters, are responding to the CFP Board's proposal.
An estimated $6.7 billion has flowed into emerging-market stock funds and ETFs so far this year, according to Morningstar.
Lawyer says it was 'slimy' of Finra to publicize the case while it was still being litigated.