October 09, 2017

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Featured News

Dan Arnold's big gamble at LPL Financial

The new CEO takes on a huge acquisition and imposes new rules on incoming financial advisers.

Consumer Federation of America claims brokerage firms may be violating DOL fiduciary rule

The CFA is calling on regulators to investigate whether brokers are moving clients to higher-cost, fee-based accounts, which it says would be a violation of the DOL rule.

Bruce Kelly Painful end for advisers who bought RCAP shares

The fate of Nicholas Schorsch's companies holds lessons for brokers who buy stock in their employers' firms.

Editorial Data breaches ratchet up risks for financial advisory firms

Registered investment advisers and broker-dealers must continue to upgrade their cyberdefenses if they wish to avoid finding themselves in hot water with investors and regulators.

When an ultra high net-worth prospect has needs beyond your expertise

An adviser asks the ethicist about a wealthy biotech CEO referred to him, whom he would like to take on as a client but isn't sure he could adequately serve.