Its adviser count is now at 9,890, including the IPI acquisition.
On plaintiff group's agenda: Establishing unpaid arbitration award pool and ensuring SEC doesn't 'water down' DOL fiduciary rule.
The group, led by David Neihart, was with the Wells employee channel, and they'll stay in that same channel at Ameriprise
New York Times reports reps may have incentive to push higher-fee managed accounts.
John Rogicki, also his firm's chief compliance officer, is the second person at New York-based Train Babcock Advisors to face fraud-related charges.
Reductions range from 5 basis points to 48.
The phase-out ranges for IRA and Roth IRA contributions were also raised.
Kansas-based nVision Wealth will come under supervision of Chicago-based IHT Wealth Management.
Priority Financial Group specializes in credit unions in the Southwest.
