Firms let accounts go over designated exposure levels, which led to higher fees and losses for clients, according to the SEC.
Survey finds four in five respondents expect a hit if their candidate loses, with concerns around taxes, inflation and healthcare costs being shaped based on party lines.
The deal to take the $6.2T wealth tech platform private is pushing through with virtually unanimous approval.
More than half have made investment portfolio changes recently.
Two firms have settled charges alleging unregistered sales of investment contracts.
Judge noted 'remarkable' cooperation but serious crime.
Traders are weighing chance of another 50-point Fed cut this year.
Metal has gained by almost one third so far in 2024.
Crypto seen as emerging global money alternative.
The hybrid RIA's new platform takes a page from the Uber model, with 200 qualified buyers to start off its national rollout.
“Broker-dealers and RIAs are right now in a position where they must over disclose," says one industry executive.
The Retirement Planning Group's fourth deal for 2024 adds nearly $200M in AUM with veteran-led practice in Austin, Texas.
Company reaches agreement with shareholders who said they were burned by 2020 decision to lower investment minimums for institutional shares.
The newest additions to the firm's employee advisor arm will operate its inaugural location in the Big Apple.
The wealth giant is extending its presence in Oklahoma and Pennsylvania with minority stakes in two independent firms.
Deutche Borse also investigated by EU regulators.
One firm avoided penalties as it proactively self-reported and took compliance action, according to the regulator.
The Tennessee-based firm led by a 36-year industry veteran helps extend Kingswood's presence in the Southern US.
Commercial partnership announced, drawing on complementary expertise.
SEC says firm's proactive approach should be a model for RIA compliance.
