In moves that indicate across the board belt-tightening at LPL Financial, the company has eliminated as many as 70 jobs and is delaying raises to employees next year by at least six months.
Fiduciary legislation could be a part of Congressional negotiations to avoid a government shutdown.
One of the largest networks of independent broker-dealers in the country recently hired a law firm, which in turn will select an investment bank to begin discussions with interested buyers, according to two sources with knowledge of the company's moves.
A former Finra director says wild market gyrations over the summer will induce cases that could take months to fully reveal themselves.
Steve Dunlap takes the helm at the wealth management tech provider FolioDynamix.
If your earnings information is wrong, you may not receive all the benefits to which you are entitled.
Restricted application for spousal benefits is still key for married couples.
Restricted application for spousal benefits is still key for married couples.
Now is the time to determine marketing strategies to achieve your goals in the coming year.
Investor was sold aggressive investment strategies despite stating low tolerance for risk.
The initiative, signed into law in January, can't get off the ground until the president nominates members to the registry's board.
Due diligence considerations that plan advisers should make when a fund has adopted swing pricing.
Ex-Morgan Stanley broker now only has to pay about half of $2.9 million he was originally ordered to pay by Finra arbitrators.
As part of her claim, ex-broker alleges the wirehouse's recent move toward mandatory arbitration is an attempt to prohibit employees from publicly challenging unfair practices.
Rules proposed by Finra and MSRB would require brokers to detail the price differences they and the clients pay for corporate and municipal bonds.
Predictions on what the Labor Department's fiduciary rule will look like when implemented, and when that implementation might occur.
Activist investor Marcato could demand more of a say in how the company is run in effort to boost its stock price.
With benefit open-enrollment season looming, corporate employees need to make the most out of their benefits. After all, with wages largely stagnant, benefits are the new salary.
Wealthbox, a client relationship management system for financial advisers, will launch its latest CRM platform to integrate widely-used Gmail accounts.
BBVA isn't the only bank with eyes on algo-driven advice, the next trend in the robo-movement.
