Former IFG rep Jeffrey Schwebach ordered to disgorge $19,534 plus interest.
Firms are able to inflate projections of cash accumulation in IUL policies via bonuses and multipliers.
The RIA technology will provide Merrill Private Wealth Management advisers with reporting on held-away assets.
If firms want to keep pace with changing investor demographics, they have to hire more diverse viewpoints.
A change in the White House in 2020 could result in a reversal of new SEC advice reform rules, just as the last presidential transition left the DOL fiduciary rule dead.
Eleven-person Venture Visionary Partners is based in Toledo, Ohio
Broker-dealer regulator saw 2.3% decline in investment portfolio.
Avantis Investors has an independent look, but has plenty of support from American Century
The move is a big deal for RIAs, experts say, since TIAA was one of only a few insurers to offer fee-only life policies.
Turnkey asset management platform says it's seeking to raise $100 million in an initial public offering.
Measure prevents funding for Reg BI, but could die in Senate.
The tribe claimed it was unaware of the $11 million in commissions paid to a former Purshe Kaplan Sterling broker.
There are many benefits to milestone planning. Here is what you need to know
Georgetown University Medical Center reveals brutal dynamic governing long-term care in America.
House likely to approve measure that effectively kills rule package, but it faces uphill battle in Senate
As some Democrats campaign to wipe the slate clean, financial planners focus on limiting the amount students borrow.
The settlement is notable due to the relatively small size of the company's plan.
Non-compensation costs have risen to 33% of total expenses, up from 26% in 2014.
Wirehouse advisers fear that they'll have less access to fixed-income investments in the independent space, but the opposite is true.
Advisers working for wirehouses and regional firms control vast amounts of assets that LPL would like to bring under its umbrella.
