Head of New York-based firm led scheme to sell shares at inflated prices, says regulator.
Kansas-based firm managing $340 million had been affiliated with National Planning Corp.
They do not believe the cuts will do much to help economy next year.
Saber rattling is cause for concern, but advisers are not making wholesale moves in client portfolios.
George Dahl appeared at Finra hearing but did not provide requested testimony.
From Dow Chemical to Morgan Stanley, corporations are cashing in on overseas demand to pump up profits.
Several strategies can cover the gap to help clients claim a bigger benefit later
Why dividend-paying stocks have a place in any well-diversified portfolio.
Funding a child's college education shouldn't blow up their retirement.
Paul Lang joins firm's employee channel in Roswell, Ga.
Looking solely at the median cost of hiring an adviser can be deceiving.
Eighteen-month postponement further clouds the future of a fiduciary rule.
The company may seek to exit its John Hancock unit in the U.S.
U.S. stocks? Not so much.
Indexed annuity distribution would have been upended in January, but a delay preserves the status quo.
Industry executives have been chattering for at least a month about the blockbuster deal.
Louis Martin Blazer III of Pittsburgh, Pa.-based Blazer Capital Management was barred last year
Broker-dealers report paying hefty start-up costs and additional ongoing expenses, and are cutting the number of mutual funds they offer.
Senators seek clarification on 2-year-old rule that gave surviving spouses certain rights.
Survey finds more firms hiring younger advisers, which is bringing average salaries down.
