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Chicago adviser Daniel H. Glick sentenced to 12 1/2 years for fraud
Ordered to pay $5.2 million in restitution.
5 key questions about the SEC’s proposed ‘best interest’ standard
The regulator may have purposely left portions of the standard vague so it can crack down on behavior not explicitly stated in the rule.
Finra proposes to widen net for churning violations
Under new rule, brokers would not have to have control of account to be found liable.
The transformation of the adviser-client experience
The U.S. auto industry has changed dramatically in recent decades. Is wealth management headed for the same type of disruption?
Litigation, scale push private colleges to adopt multiple employer plans
The movement to create multiple employer plans creates opportunity for retirement plan advisers.
SEC advice rule: Time for brokers, advisers to weigh in
Much work remains on the proposal, so feedback is crucial.
Things are looking up: IBDs soared in 2017
With revenue up, interest rates rising and regulation easing, IBDs are soaring.
Top independent broker-dealers ranked by revenue
Data include a breakdown of fee, commission revenue.
The $1 million gender wealth gap
Compounding female wage inequity jeopardizes retirement security
The rich are betting they can buy their way to a longer life
The successor to income inequality is longevity inequality
Retail brokers benefitted from the first quarter’s volatility
Charles Schwab posted its highest quarterly revenue ever and ETrade saw its highest quarterly sales since 2009.
SEC advice rule may give RIAs leg up over broker-dealers
Experts say advisers will be able to point to their role as fiduciaries as a differentiator in the advice market.
Arbitrators award Morgan Stanley $6 million from former broker
Finra panel says barred rep Barry Connell must pay compensatory damages.
The rich are betting they can buy their way to a longer life
The successor to income inequality is longevity inequality.
Ed Butowsky charges Schwab with political bias in $100 million lawsuit
Adviser claims he was kicked off custodian's platform because of his political views.
SEC advice rule: Here’s what you need to know
We sifted through the nearly 1,000-page proposal and picked out some of the most important points.
Principal sued for stacking its TDFs with proprietary funds
The firm allegedly used high-cost, underperforming index funds in its hybrid target-date funds.
Cadaret Grant acquired by private-equity-backed Atria
75-year-old owner Arthur Grant positions the IBD for the 'next 33 years.'
First quarter was a seller’s market for RIAs
Broker protocol factored into increased breakaway broker movement.
What a court decision teaches 401(k) advisers about choosing stable-value funds
Selecting a very conservative benchmark is generally permissible under retirement law.
