Kara Murphy never thought she'd end up on Wall Street — or be in one of the World Trade Center towers attacked on 9/11.
Will try to determine whether more than 2,000 retirement plans are abandoned.
Plan sponsors are left out of the equation because they don't appear to fall within the definition of "retail" investor, legal experts say.
Addition of $495 million Wisconsin hybrid brings AUM to $8.4 billion.
Falling unemployment and rising inflation put pressure on policymakers.
Settlement is part of a $26 million agreement between the independent broker dealer and the North American Securities Administrators Association.
Thomas Monroe and John McDermott join employee unit in West Hartford, Conn.
James Nagengast is challenging Finra's handpicked nominee, Shelley O'Connor, co-head of wealth management at Morgan Stanley.
Merrill Lynch has seen two teams exit recently, each with more than $4 billion in client assets.
At investor town hall in Atlanta, the agency's head urges clients to press advisers on fees
Dynasty Enterprise Group will focus on updating large-firm infrastructure.
Just 30% of baby boomers and older investors have made similar investments, Fidelity Charitable finds.
The proposed best-interest standard applies only to 'retail customers,' a definition that seems to omit broker recommendations to retirement plans. RIAs, though, are still on the hook.
For different reasons, each says client-relationship-summary disclosure is flawed.
The sale would keep the platform in the LPL network, and could be used as a way to lure retirement advisers away from Independent Financial Partners.
Despite shifting tones from presidential administrations, advisers can still safely apply ESG factors in investment decisions.
Advisers must weigh pros such as ease and efficiency against drawbacks like client risk and less leverage.
Sean Aaron Brady failed to cooperate with Finra's investigation into the circumstances of his termination.
SEC offers favorable settlement terms through Monday to investment advisers who acknowledge they didn't use the lower-fee option available in a fund.
