Daniel Lerner, who's executive vice president of investor services at David Lerner Associates, faces potential disciplinary action over sales of energy funds.
The index fund giant is making history with its first-ever shuttering of a U.S.-listed ETF, but it's not elaborating on its plans for its five other factor-based funds.
Benjamin Link and Steve Sexton, who are forming Vero Wealth Management in Greensboro, are the 25th team to join LPL’s Linsco platform.
Cash saw inflows of $30 billion in the week through Sept. 21 with the vast bulk now earning upwards of 2%, with pockets paying 3%, 4% or more.
After years of consolidation, the platforms that solve the puzzle could win future advisers and their assets. The ones that don’t may find themselves acquired.
It may be time for advisers to talk to clients about reducing spending and either continuing or returning to work.
The Republican party is favored to win the House in November's election. But even with control of that chamber, the legislative path for GOP bills is perilous.
U.S. Attorney’s Office files a parallel criminal charge against James McDonald, who is believed to be in hiding.
In an RIA Lab discussion of what investors should expect from alternative investments, panelists note that fees are high and liquidity is limited.
Many owners of small firms don't plan their exit properly — or at all. Here are things advisers should keep in mind to help business-owner clients make plans.
Andrew Hartnett, who's deputy administrator for securities in Iowa's Insurance Division, has put assessing the broker conduct standard at the top of his priority list at NASAA.
It's back to an 'organic plan' for the bank's wealth management business in the United States, says Iqbal Khan, co-president of UBS Global Wealth Management.
The program offers six months of training in how to attract and work with high-net-worth and ultra-high-net-worth clients.
The Retirement Income Style Awareness profile matrix matches clients' preferences with financial solutions.
Sixty percent of workers say they're focusing more on their financial benefits compared to a year ago, according to the firm's survey.
Federal Reserve officials raised rates 75 basis points and forecast a further 1.25 percentage points of tightening before year end.
Judge rejects Amy Cooper's suit against Franklin Resources in which she claimed racial and sexual discrimination and defamation.
The decision to raise rates was unanimous and officials forecast they would reach 4.6% in 2023.
But NASAA reports increase in both fines and restitution in 2021, with states collecting $145 million in fines and returning $312 million to investors.
The deal for NPB Financial Group in Burbank is the latest in a modest string of broker-dealer acquisitions occurring against the backdrop of the red-hot M&A market for RIAs.
