Henry Al Dean Watson failed to show up during inquiry into arbitration claim alleging excessive trading and commissions, unauthorized trades and portfolio mismanagement.
The deal is the latest example of the finance industry working with technology firms that provide services the old guard can't easily replicate.
NextCapital's digital platform to serve 401(k)s and rollovers for the firm.
Answering specific client questions and not making a pitch result in the greatest engagement.
Members of hourly advice group to get discount on fintech aimed at holistic planning.
Investing in real estate, private equity, church bonds and precious metals can create some unique problems for retirement savers.
Budget restraints will limit paper benefit statements to those 60 and older.
Predicts next market downturn will usher in new era of big broker-dealer mergers
With Republicans and the industry holding sway in 2017, the SEC might push through a less-stringent regulation — perhaps simply elevating the current suitability rule.
Starting out in compliance, she was at the firm for 13 years, most recently as head of transitions.
A bitterly debated regulation that requires financial advisers to put their clients' interests first could be derailed.
Republicans have put regulatory reform — and rolling back Obama administration rules — at the top of their agenda in the new session of Congress.
The programs, currently being established in five states, open up distribution opportunities for 401(k) advisers in the short term and create longer-term prospects.
Some providers see sales opportunity due to broker-dealers' narrowing of product platforms.
She transferred $350,000 from a client's account to an imposter in phishing scam without following firm's verification process.
With most versions of the plans aimed at replacing Obamacare including higher deductibles and out-of-pocket expenses, HSAs could represent a tradeoff in terms of costs.
That move would take off the table a common challenge brought by defense attorneys: that hiring judges is unconstitutional.
Unusual number of variables in the New Year.
Even opponents of the DOL rule appear to be zeroing in on titles that cause confusion with the investing public.
The bill would delay the fiduciary rule's implementation two years from the time the legislation is enacted.
