Says states need to take the lead in securities investigations as Trump moves to cut back financial regulation.
Length of time for measure's review gives SEC, other regulators greater chance to get involved in setting advice standards.
The Financial Industry Regulatory Authority Inc. and FSC Securities last Thursday announced that the firm will pay a $100,000 fine and $492,000 to clients.
Head of New York-based firm led scheme to sell shares at inflated prices, says regulator.
They do not believe the cuts will do much to help economy next year.
Kansas-based firm managing $340 million had been affiliated with National Planning Corp.
Several strategies can cover the gap to help clients claim a bigger benefit later
George Dahl appeared at Finra hearing but did not provide requested testimony.
From Dow Chemical to Morgan Stanley, corporations are cashing in on overseas demand to pump up profits.
Saber rattling is cause for concern, but advisers are not making wholesale moves in client portfolios.
Funding a child's college education shouldn't blow up their retirement.
Why dividend-paying stocks have a place in any well-diversified portfolio.
Eighteen-month postponement further clouds the future of a fiduciary rule.
The company may seek to exit its John Hancock unit in the U.S.
Paul Lang joins firm's employee channel in Roswell, Ga.
Looking solely at the median cost of hiring an adviser can be deceiving.
Industry executives have been chattering for at least a month about the blockbuster deal.
Broker-dealers report paying hefty start-up costs and additional ongoing expenses, and are cutting the number of mutual funds they offer.
U.S. stocks? Not so much.
Indexed annuity distribution would have been upended in January, but a delay preserves the status quo.
