Resource Horizons Group may not be able to meet net capital requirements; Kovack Securities opens its doors to advisers.
Bert Whitehead's exit suggests NAPFA can't stand disagreement in its upper ranks
As senators invite the public to contact them with ideas on tax reform, advisers should speak up
There are many ways people are overpaying and leaving money on Medicare's table.
About 30,000 current and former annuity owners claim company failed to pay proper dividends on contracts sold 30 years ago.
Advisers with assets over $1 billion are outperforming their peers. Does your firm have what it takes to be a billion dollar baby?
Consumer groups say the agency has been preoccupied with market issues to the detriment of the public and needs to tighten adviser oversight.
This offer affects more than 30 types of variable annuity contracts issued by the insurer
Jo Ellen Fisher, an independent contractor with Raymond James Financial Services, allegedly stole $925,000 from a 95-year-old client to fund personal expenses, Finra says.
As online advice firms continue to mimic each other, they will come under pressure to differentiate themselves through new services and lower costs.
<i>Breakfast with Benjamin</i>: Smart beta is here to stay, so you might as well try and figure out what the heck it is.
Secretary Perez has confidence his agency will complete work on the rule before Obama's term ends.
Advisers need scalable, standardized and easily supervised risk management systems in light of increased regulatory scrutiny
Competency hearings and splits in the family are more common than you may realize.
Charles Schwab & Co. will unveil its white label online platform for advisers in the second quarter.
SEC chairwoman says she will push the agency this year to make a decision on whether to raise investment advice standards for brokers but once again declined to provide a timeline.
New acquisition by nontraded REIT czar costing him &mdash; $3.74 million in Texas state court settlement over sale of DBSI notes.
Social media will be essential, and instead of going full automation, pair investing technology with a professional.
<i>Breakfast with Benjamin</i>: The president's 2016 budget lets workers tap into their 401(k)s penalty-free once unemployment runs out.
Pilot raised more than $9 billion last year along with hopes for more direct-to-consumer fund sales.
