Eric Zakarin was also liable for $357,000 of Wells Fargo's attorneys' fees.
One 529 plan bumped up to gold, joining only two others with that top rating.
Many new U.S. infrastructure funds are designed to offer investors the possibility of higher income in exchange for taking some additional risk.
Also, Wells Fargo's biggest non-performing asset is its board, Kansas clamps down on bad news, and the ruby slippers are saved.
Competitive pressures on smaller firms present opportunity for deal making.
Retirees lost $140,000 after Christopher Ariola unduly concentrated them in energy, gold.
Custodian offers five portfolios with investment selected by Morningstar professionals.
A China Oceanwide investment platform will pay $5.43 per share, the companies said.
Members of TD's 'Advisor Direct' program may develop new clients. <b><i>(Related read: <a href="http://www.investmentnews.com/article/20161024/FREE/161029966/ria-firms-see-record-number-of-ma-deals-in-first-nine-months-of-2016" target=”blank">RIA firms see record number of M&A deals in first nine months of 2016.</a>)</b></i>
The sale of large advisory firms with $1 billion to $5 billion is surging, says DeVoe & Co.
Salentica client relationship management software to become part of Black Diamond platform.
An adviser shares his experience starting his own firm, and the challenges of not being able to depend on a home office anymore for phones, faxes, malware and more.
Miniscule benefit hike won't protect seniors' buying power.
It's no different than comparing stocks to bonds.
Warren's charges could be motivated by political calculation rather than concern about investor protection or information.
The technology company seeks to expand its responsible investing footprint with the RIA.
With the holidays and perhaps a raise or bonus on the horizon, it's a good time to make that money work for you and your retirement.
Investing in local communities allows investors to foment meaningful change, providing not only reliable economic returns, but personal ones as well.
At least four trade associations reached their highest levels of donations in this election cycle, the FEC reports.
Wealth of tools popping up to help with compliance, but will require proper adviser due diligence.
