Executive said agency will check on systems and processes firms have in place, and gather information about how rules can be improved.
Older generations still prefer to work with a financial adviser to mitigate risk.
Clients seem to be fairly calm about this bout of market volatility, but it's still important for advisers to speak with them directly.
Wells Fargo Advisors, LPL Financial and Cetera Financial Group are dangling deals.
Complex case involved suicide, excessive trading and unauthorized transfers.
Mistake occurred on a webpage with brokers' biographies.
Delayed retirement credits end at 70, so there's no reason to defer claiming beyond that age.
Broker-dealer network believes it can give advisers a better understanding of what clients are thinking and feeling about money.
The online startup can't retrieve about $145 million held in digital 'wallets' for its customers.
Extending Bengen's research on the proper rate at which to draw down retirement assets using 25 more years of data shows the rule can still work.
Market volatility can pave the way for more important conversations than those beating the market and reducing your fees.
Quest Capital was held responsible for non-client losses.
Renaissance Technologies workers have seen their Roth IRA holdings in its Medallion Fund grow eight-fold in five years.
Indie B-D recruited $27.3 billion in brokerage and advisory assets in 2018, at the same time the firm was experiencing big shake-ups in its operations.
Regulator gives firms until April 1 to report themselves, avoid fines; restitution still required
The lottery winner, James Groves, was awarded $3.3 million, and Asante Samuel, who retired in 2013 after an 11-year career with the New England Patriots, Philadelphia Eagles and Atlanta Falcons, will receive $879,000.
The settlement with 50 states and the District of Columbia announced Friday resolves state investigations into Wells Fargo's practices from 2002 to 2017.
Key news for the wealth management industry included the Edelman-Financial Engines merger, the Focus Financial IPO and the seller's market in RIAs
This is the eighth action against a bank or broker, and fourth action against a depositary bank, resulting from the SEC's ongoing investigation into abusive ADR pre-release practices.
Finra's findings were largely surrounding legacy Morgan Stanley Smith Barney systems, staffing and processes relating to the surveillance of wire transfers, and the deposit and sale of low priced securities.
