Mark Lamkin borrowed $1.3 million from a client and didn't disclose it, according to the regulator
Patrick Coogan signed bank ‘control agreements’ for a customer's loans without authorization
Large RIAs will have a much easier time navigating the crisis caused by the coronavirus, providing another impetus for M&A
Efforts to upend arbitration decisions were criticized by claimants' attorneys
Voya Financial will rebate certain fees related to early withdrawals and loans through September
A recession could be coming for the Sunshine State, says a Wells Fargo Securities analyst
One-time rebate checks, relaxed rules on required minimum distributions and changes in tax filing deadlines are all pluses
Amid the pandemic, many plan advisers are focusing more on customer service, and the shift to working with clients remotely is likely to accelerate
Neil Goetzman and Jeffrey Nau set up eponymous business in Alexandria, Va.
The company failed to monitor plan fiduciaries' handling of investment and record-keeping fees, the judge wrote
The North American Securities Administrators Association website provides a rundown of relief granted by each jurisdiction
Unless clients are in dire circumstances, tapping retirement assets now is a losing strategy
The network realigns management after its acquisition of Ladenburg Thalmann
The former president had been serving as interim leader since October
Meanwhile, the Social Security Administration is scaling back its hotline hours amid a flood of phone calls
The four-person Horizons Financial Group is based in Birmingham, Ala.
The many Americans who lack enough savings for retirement or are burdened with debt create a significant opportunity to attract clients
TD Ameritrade, Wealthfront and Betterment have seen the number of account openings soar since stocks declined
Mark Killingsworth and Stephen Vessey set up shop in Beaver Dam, Wisc.
Gerald Dewes had been discharged by the firm for selling away
