Mr. Block faces charges of conspiracy to commit securities fraud, securities fraud and making false filings with the Securities and Exchange Commission.
While getting Supreme Court Justice Neil Gorsuch confirmed was a major win, Mr. Trump has stumbled in many other important areas.
The proposed Financial CHOICE Act lays out a series of tough provisions the SEC would have to meet to adopt a uniform fiduciary standard.
Litigation over these agreements often favors the firm, but there are ways for advisers to protect their businesses.
In one example, Scott Allen Sibley allegedly exposed risk-averse retiree to naked options.
Here's how the new administration has affected your wallet, for good and bad, and what to watch in the days to come.
New Fidelity survey shows more Americans plan to wait to claim benefits.
Hint: It's not who you think.
Ideas floated in the past include imposing a Canadian-style capital-gains tax at death in place of a federal estate tax, but the president hasn't offered additional details.
InvestmentNews survey shows that more than half disapprove of his job performance.
Walter Stamper of Chattanooga, Tenn., managed $147 million
More than 200,000 inexperienced retirement plan advisers aren't going to exit the market overnight.
It's not your imagination: The rich really are taking more from taxpayers.
Senate approves Trump's nominee as DOL secretary, 60-38.
Executive says the pass-through cut to 15% would be a boon to some advisers, but the rate is too low for corporations in terms of gaining bipartisan support and being revenue-neutral.
The firm's independent broker-dealer is playing host to a possible record number of potential recruits at its annual meeting in Orlando, Fla., this week.
New Fidelity survey shows more Americans plan to wait to claim benefits.
