LPL advisers reported a slowdown in the company's new ClientWorks system that prevented some of them from making trades.
Consumer Federation of America cites Massachusetts action as one to emulate, in letters to the Labor Department and various regulators.
The adviser overstepped his bounds, and here's why
Registered reps and insurance agents won't be included on the clearinghouse.
Authorities say Jeffrey Palish's misdeeds against elderly clients netted him anywhere from $180,000 to $600,000.
Puerto Rican residents charged the firm with fraud and breach of fiduciary duty.
New guide offers ideas for estimating and funding retiree health care.
The digital adviser has criticized competition in the past for offering proprietary products.
Massachusetts may be just the first state to hold firms accountable.
Ruckus over recruiting agreement has even wirehouse lifers wondering if it's time.
Experts discuss how technology disruption can help advisers meet changing client expectations.
Executive is former Pershing COO and group president at Envestnet
SEC Chairman Jay Clayton put a fiduciary-rule proposal at the top of the agency's rulemaking agenda on Friday, saying that the market needs "clarity" on the relationships between financial advisers and clients.
The university was one of about a dozen prominent schools sued by Jerry Schlichter in 2016.
Rule should provide clarity on role of adviser, enhanced investor protection and regulatory coordination.
Agency hopes to overcome past divisions on investment advice standard.
The groups will expand beyond compliance to provide advisers with turnkey solutions, training programs and even succession planning.
Bitcoin gains and losses are taxed like property, but a lack of information could make filing a challenge.
Agency failed to tell survivors that they could switch to a higher retirement benefit later
Legislation by Rep. Richard Neal would require most small businesses to establish a retirement plan and automatically enroll employees.
