Employees alleged the paper distributor breached its fiduciary duty.
Regulator working on dual tracks but specifics and timing remain uncertain
Earnings in months leading up to retirement date can be ignored.
Hefty prices for e-mail storage have slammed small brokerages, which say their data is being held hostage by vendors taking advantage of regulatory requirements.
ING U.S. Inc. will begin selling fixed annuities through Allstate Corp. agencies as the largest publicly traded U.S. auto and home insurer ceases to offer its own brand of the retirement products.
That change would increase the cost of arbitration for firms and retail investors, some industry watchers warned. But Finra describes the increases as necessary.
Roger W. Rodas was in actor Paul Walker's car; firm “deeply saddened” by loss.
Mobile applications, cloud computing, big data and integration all critical to advisers' way of doing business
The Investor Advisory Committee gives the SEC two options for a uniform standard for advisers and brokers.
The Southwest Airlines pilots, who subscribe to an investment newsletter, are hurting certain funds by trading en masse, Vanguard says
In the wake of fraud allegations over alternative investments, Bruce Kelly warns that advisers need to do their due diligence when choosing an alt. <b>More:</b> <a href="http://www.investmentnews.com/article/20130811/REG/308119973">Investors defrauded by real estate guru: Finra</a>
Live from FSI's OneVoice 2014 Broker-Dealer Conference: Electronic signatures have started to see wider acceptance from broker-dealers, says Laser App's Powell.
Former Sen. Christopher J. Dodd and ex-Rep. Barney Frank defend sweeping regulatory reform.
Are Americans ready for retirement or not? Depends on whether you are an optimist or pessimist &mdash; new studies point to either yes or no. But according to two advisers, most people still have work to do.
Bill Schwartz, an independent adviser who broke away from Merrill Lynch, says he understands why advisers stayed at wirehouses five or 10 years ago. But today, the game has changed.
PlanMember Financial's 400 reps work with school district, nonprofit retirement plans.
Friday's breakfast is served: Big banks feel the heat from religious investor groups; Deutsche Bank settles with Finra; the housing recovery's recovery and Jamie Dimon's wacky holiday card
Breakfast with Benjamin: The Dow is getting dicey at these heights. Plus: Lawyers get rich on Madoff's mess, Volcker rule cuts prop trading, retirement back-up plans, and rich folks are spending less this holiday season.
Effort to thwart Dodd-Frank provision has prompted White House veto threat.
Financial advisers who have recently upgraded their firm websites unanimously agreed that the projects were more taxing than they expected.
