California, New York, Oregon ask for rehearing by full 5th Circuit Court of Appeals.
Chinese bank unit fined $5.3 million over anti-money laundering laxity.
Program has amassed nearly $3 million in just a few months.
Regulator brought fewer actions in fiscal 2017, but touts a record $1 billion being returned to harmed investors.
Move will affect 54,000 policyholders with older policies.
The PowerShares QQQ Trust Series ETF took in more than $2 billion last week
Former broker in San Francisco claims firm did not reimburse reps for expenses.
Three-adviser group in Franklin, Tenn., serves retirement plans.
Excessive fees, as well as the retention of a low-yielding money market fund, were at the heart of the lawsuit.
The objective is developing superior client solutions while creating an environment worthy of advisers' and associates' best efforts.
A footnote in regulator's settlement letter to Fifth Third outlines factors affecting the size of the fine.
More than half of those surveyed have not yet created an online Social Security account
Advisers say clients are wary of selecting Wells Fargo for record-keeping and investment-management services due to reputational risk.
Some LPL advisers feel the firm is offering less support to retirement plan specialist advisers.
Determine how your offering can flex along with your clients' needs, no matter their stage in life or circumstance.
New regulation requiring brokers to disclose their markup or markdown on corporate and municipal bonds goes into effect today.
More advisers are coming to the realization that they no longer need regular face-to-face office meetings with clients and can work remotely from wherever they want.
Advisers should be ready to prepare older clients for an altered game plan.
Reviewing key deadlines with a group of friends at age 64
Commissioner says agency's past 'broken windows' philosophy put undue pressure to keep pushing up the number of enforcement actions.
