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Securities America to pay another $1 million to Medical Capital Holdings investors in Massachusetts

March 2, 2017

Almost six years after reaching a settlement with the Massachusetts Securities Division, Securities America Inc. will make a final payment of $1 million to investors, many of them seniors, who bought promissory notes issued by Medical Capital...

New York Life settles 401(k) lawsuit for $3 million

February 16, 2017

New York Life Insurance Co. has agreed to settle a lawsuit alleging the firm engaged in self-dealing in its 401(k) plans for the sum of $3 million. Plaintiffs brought the excessive-fee suit against New York Life in July 2016, seeking relief...

Most advisers' cybersecurity training insufficient

February 7, 2017

Financial advisers should be spending about three times as much time training their staff each year on how to protect the firm and client data from cybersecurity dangers, experts said. About two-thirds of financial advisers spend two hours or...

Top independent broker-dealers reveal their payout tables

January 22, 2017

The 2017 InvestmentNews independent-broker-dealer directory is based on information provided by 90 eligible firms. To be considered for future listings, contact INResearch@investmentnews.com. Visit InvestmentNews.com/bddata for more-complete...

IRS raises red flag over tax shelter land deals

January 20, 2017

At least one independent broker-dealer is pulling back from selling tax shelter land deals that have recently drawn fresh scrutiny from the IRS. International Assets Advisory last year raised more than $3 million for one such tax shelter and...

Why This May Be the Right Time to Sell Your Practice

January 11, 2017

There's no more daunting task than creating a succession plan for your practice. You're busy. You'd rather be serving clients. Adding to the challenge, it feels more complicated the more successful and sophisticated your business becomes. It's...

Ameriprise adviser's data breach offers cybersecurity lesson

December 20, 2016

Ameriprise Financial shut down the internet-connected backup drive its adviser was using to synchronize files from his office to his home as soon as it discovered client data was at risk earlier this month. The Minneapolis-based firm, which...

Former Advisor Group CEO Erica McGinnis leaves the firm

December 14, 2016

Erica McGinnis, who stepped down in August as CEO of the Advisor Group, is leaving the firm. In a note sent to Advisor Group's registered reps on Wednesday, Advisor Group executive chairwoman Valerie Brown thanked Ms. McGinnis for her work....

Wells Fargo to keep commission retirement accounts under DOL fiduciary rule

December 2, 2016

Wells Fargo Advisors has elected to keep commission retirement accounts intact under a Labor Department regulation governing investment advice, a decision that comes as uncertainty looms over the rule's fate. The wirehouse made its announcement...

5 Ways Your Practice Could Benefit From a Second Opinion

December 2, 2016

You're successful, competitive and resourceful. Most of all, you're someone who does not like someone else telling them what to do. These qualities are all harbingers of success as a financial advisor, but they don't exempt you from being able...

Trump may kill DOL rule, but financial advice industry still needs fiduciary regulation

November 21, 2016

Many in the financial advice industry reacted with jubilation after Donald Trump's upset victory in the presidential election. As a pro-business Republican, there was little doubt to many investment advisers and brokerage executives who voted...

Shares of independent broker-dealers, wirehouses get boost from Trump victory

November 9, 2016

Shares of broker-dealers and wirehouses soared in trading Wednesday, the day after Donald Trump was elected president. By noon, shares of LPL Financial Holdings Inc. were up 8.7%, Raymond James Financial Inc., 6.1%, Ameriprise Financial Inc.,...

Eyes wide shut on DOL fiduciary future

November 6, 2016

As more time elapses and more information trickles out about the Department of Labor's coming fiduciary rule, it is becoming more apparent that parties both inside and outside the regulatory clutch are still largely speculating about what lies...

Stifel will retain commissions in retirement accounts under DOL rule

November 3, 2016

Put Stifel Financial Corp. in the column of brokerage firms that will continue to pay both commissions and fees to advisers who work with client retirement accounts. The past month has seen a steady roll call of major firms revealing their plans...

Cambridge, Cetera will continue to pay commissions on IRAs under DOL fiduciary rule

November 1, 2016

Cambridge Investment Research Inc. and the Cetera Financial Group network are the latest broker-dealers to announce their strategies to comply with the Department of Labor's fiduciary rule, saying Tuesday that they will continue to pay both...

Broker-dealers split on commissions in wake of DOL fiduciary rule

October 30, 2016

After months of silence, large brokerage firms are beginning to announce their strategies to comply with the Labor Department's fiduciary rule. Morgan Stanley, Ameriprise Financial Inc., Raymond James Financial Inc. and Commonwealth Financial...

Ameriprise will stick with IRA commissions under DOL fiduciary rule

October 26, 2016

In contrast to a couple of its most prominent competitors, Ameriprise Financial Inc. will stick with paying commissions to its brokers and advisers when working with clients' retirement accounts under the new Department of Labor fiduciary rule....

Ameriprise spends another $7 million in Q3 to get ready for the DOL fiduciary rule

October 25, 2016

Ameriprise Financial Inc. spent $7 million during the third quarter to prepare for the Department of Labor's new fiduciary standard rule for retirement accounts, pushing this year's total spending on the regulation to nearly $19 million. In...

Applause, please: Financial advisers win Community Leadership Awards

September 29, 2016

The charitable contributions of five financial advisers and two firms were honored Thursday night at the 10th annual Community Leadership Awards, presented by the Invest in Others Charitable Foundation and InvestmentNews. "It's resoundingly...

2016 Community Leadership Awards finalists named

September 25, 2016

The Invest in Others Charitable Foundation and InvestmentNews have recognized the philanthropic efforts of 15 advisers and 10 financial firms, naming them as finalists for the 2016 Community Leadership Awards. The 10th annual awards will be...

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