Veteran regulator will ease out of her role through April 2018.
Healthy retail business buoys corporate performance for the year.
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.
New York Times reports reps may have incentive to push higher-fee managed accounts.
The group, led by David Neihart, was with the Wells employee channel, and they'll stay in that same channel at Ameriprise
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.
Priority Financial Group specializes in credit unions in the Southwest.
The phase-out ranges for IRA and Roth IRA contributions were also raised.
