Top performers should be given preference for advancement, according to one consultant.
The monetary agreement follows a court ruling last month.
New monthly Medicare surcharges will go into effect in 2018, but sometimes they can be reversed.
We must ensure that regulators and the public hear detailed, quantitative information.
Ray Mignone Associates has offices in Queens, N.Y. and Boynton Beach, Fla.
Bruce Barber failed to provide information about selling unapproved securities.
Says advisers might one day get client portfolio advice directly from asset managers.
A fiduciary rule repeal isn't as important as other legislative issues, such as the debt ceiling and tax reform, according to Rep. Phil Roe.
Scott Newsholme allegedly stole $1 million, using funds for personal expenses, a gambling habit and to pay back early investors.
Broker William Glaser caused $400,000 loss, claims infirm 76-year-old Navy veteran.
Financial Services subcommittee will explore self-regulator's agenda, structure and in-house operational review.
Joseph Yanofsky arranged the buys without getting customers' approval.
She is also expected to set the agenda for ETFs, an area in which she has expertise from her previous time at the SEC.
New government report distorts facts and costs of home equity loans for seniors.
Settlement brings recovery for victims of Bernard Madoff's Ponzi scheme to about 72 cents for every dollar in principal that was wiped out.
Continuity plans are being activated and emails sent out to clients about precautions they should take to safeguard their important records.
Advisers who moved to other broker-dealers after MetLife sold to Massachusetts Mutual are seeing trailing commissions cut on VA and fixed annuity contracts.
Authorities say he and clients made millions trading on secret tips about pending mergers.
Brokers and staff in Baton Rouge, La., move to firm's employee unit.
