After two years of development, the company is believed to be the first major IBD with a compliant texting solution
Regulator reveals plans to hold senior officer salaries flat, and other financials, in transparency effort.
The firm said it lost 47 brokers in the fourth quarter, the most in any quarter of 2017.
A contract may not protect advisers to the extent they believe.
Shockingly few retirement plan participants know much about investment fees or even read fee disclosures.
This 'dispatch from the retirement front' explains that updated tax records can make higher Medicare premiums retroactive.
Matthew Kerby declined to participate in hearing looking into allegations.
Questions remain about long-term effectiveness of wirehouse's move away from recruiting experienced brokers.
The retirement crisis requires big and bold solutions from plan providers, advisers and sponsors.
Numerous changes to individual and business tax provisions are likely to create at least short-term demand for advice.
A plaintiff would have to state in their initial complaint why fiduciary duty was breached, and then prove the violation with 'clear and convincing evidence.'
ProShares and VanEck offerings are among those withdrawn at the agency's request.
Racquel Oden to oversee branch and wealth management teams for tri-state area.
But long-term, the agency may get around questions of constitutionality by changing the way it brings on administrative law judges.
Regulator set to inquire about Guillermo Valladolid's alleged outside activities.
Bradley Mascho already charged by SEC with abetting fraud.
It's one in a growing list of instances where plan advisers are being named co-defendants alongside their clients.
An article from the Wall Street Journal reveals that B-D reps are incentivized to recommend costlier investments to clients over cheaper ones.
Valuations of RIAs will continue to entail more art than science.
Will clients become more interested in paying commissions? Will the new tax law steer more financial advisers toward independent channels? It could.
