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RETIREMENT PLANNING MAR 23, 2018
Billionaires donating to a Goldman charity unmasked by IRS error

The Goldman donor-advised fund is the fastest-growing charity in the U.S.

REGULATION, LEGAL & COMPLIANCE MAR 23, 2018
Finra bars former Fortune Financial rep over document denial

Fired over a fraud charge, Michael Giokas refused request for information.

FINTECH MAR 23, 2018
BlackRock turns to robos to drive latest push into active ETFs

New sector of funds created under the 'iShares Evolved' brand.

RIA NEWS MAR 23, 2018
Merrill, JP Morgan reps managing $511 million go indie with FiNet

Minnesota Merrill team and Michigan solo broker affiliate with Wells Fargo.

WOMEN ADVISOR COMMUNITY MAR 22, 2018
Women's History Month: Celebrating the women of financial planning

More needs to be done to ensure the industry and profession are open and welcoming to female professionals.

RIA NEWS MAR 22, 2018
Bill Van Law exiting as head of Raymond James' RIA unit

Firm says he will be 'pursuing other interests.'

RIA NEWS MAR 21, 2018
UBS to pay New York state $230 million to resolve probe

The state's investigation looked into the firm's marketing of residential mortgage-backed securities before the financial crisis.

MUTUAL FUNDS MAR 21, 2018
F-Squared's former president ordered to pay $12.4 million over false statements

Judge says Howard Present, who led ETF portfolio management firm, was 'reckless.'

WIREHOUSES MAR 21, 2018
Firms exiting broker protocol will suffer, reps say

Firms that help reps make change are more attractive, Fidelity survey finds.

FIXED INCOME MAR 21, 2018
Guggenheim's Minerd sees defaults, recession ahead

Companies that have borrowed heavily will have a hard time as rates tick up, he says.