Initiatives aim to combat misconduct by financial firms online and fraud perpetrated against clients.
Barred Michigan rep Christopher Tolmacs 'pocketed' money for funds.
The deal, which is expected to close in the first quarter of 2018, will bring the total assets Envestnet works with to almost $2 trillion.
The firm will pay $13 million in fines and restitution for failure to supervise.
Michael Moses falsely claimed 24% returns, and lost most of clients' money.
Wealth spread across borders is subject to special rules — and special strategies to deal with them.
Dale Earl Krueger allegedly used customer funds to buy medals.
After an IPO planned for last year didn't happen, the company could opt to satisfy its backers with a sale.
More than 698 deficiencies found in 1,200 exams, says NASAA.
The Trump administration's proposed delay in the implementation of key parts of the DOL's fiduciary rule has opened a can of worms for the financial services industry.
After a decade of litigation, fees are lower and retirement plans are more transparent. But have the lawsuits gone too far?
Amerprise sued the ex-broker after a client charged that the broker had stolen money from her and Amerprise had failed to tell her the broker had been suspended.
Future retirees also appear more willing to wait to claim larger benefits than previous waves of retirees, according to a new study.
Ivy League school is first elite university to win complete dismissal of such a lawsuit.
How a company handles its cash reserves says a lot about the priorities of its executive team
Gregory S. Brent declined to provide testimony for Finra inquiry into his termination.
You could end up paying thousands of dollars more after tax reform than you do now.
Oriental Financial Services sold the island commonwealth's triple-tax-free bonds, then dismissed a client when it was sued over the risky securities.
Majority of future retirees threaten to switch from advisers who don't offer guidance.
