Five-person group is based in Glen Rock, N.J.
Jay Clayton spent most of his confirmation hearing fending off questions about conflicts.
For some firms, there is good cause to adopt a robo-advice offering.
William Bucci, who has already been barred by Finra, pled guilty to charges of securities fraud last June.
Massachusetts orders Investment Professionals Inc. to pay $100,000 fine.
eMoney Advisor is launching eMoney for Enterprise, a division it hopes will increase the financial-planning software company's penetration of large RIA firms, banks and broker-dealers.
CEO Robert Cook said self-regulator is seeking ways to improve its interactions with brokerage firms.
During confirmation hearing, he talks mostly about overtime and minimum wage issues, although he's noncommital about his positions on those matters.
Measure directs Labor and Treasury Departments to allow employers and sole-proprietors participating in similar retirement plans to file a single aggregated Form 5500.
There's only one way to ensure they get the full tax benefit of those contributions.
Wall Street Journal columnist notes health care resolution must come first, making any tax reform more distant.
They leave Summit, Sterne Agee and Edward Jones to form independent firm.
Client claims she recommended he invest in a gold ETF, which the arbitrators agreed was an unsuitable investment for him.
Five-person group joins employee unit in Williamsport, Pa.
Questioned by Sen. Warren about the regulation, Alexander Acosta said, if confirmed, he will carry out executive orders from 'my boss.'
Chief Judge Barbara M.G. Lynn denied the financial trade association plaintiffs' motion for an injunction to stop the regulation.
Employers sponsoring 401(k) plans expect advisers to challenge assumptions, know their businesses inside and out.
The president could appoint two independent members or simply leave the vacancies open.
James Carrazza of Olympus Securities failed to report federal tax liens on his employment record and would not provide the regulator with requested information, according to Finra.
