Summit Equities sold 1,037 individual variable annuity contracts to its customers during the time period cited by Finra.
Also known as a postmarital agreement, it's an increasingly popular variant of the prenuptial agreements that engaged couples have been signing for decades.
A new tool lets users make an easy comparison between the cost of owning and renting a home.
Michael Jeppson goes indie in Manhattan Beach, Calif.
Financial services groups urge new SEC head to make uniform fiduciary standard a priority.
Synergy Capital Solutions has offices in Illinois, Florida and Michigan.
Mark J. Varacchi may have to return $3.95 million his firm allegedly stole from investors.
Walter Stamper of Chattanooga, Tenn., managed $147 million.
More than 100 House Republicans wrote a letter to the new DOL secretary, telling him there is an "urgent need' to act on the investment-advice regulation.
The problem lies in who gets defined as a rogue broker.
Mr. Block faces charges of conspiracy to commit securities fraud, securities fraud and making false filings with the Securities and Exchange Commission.
Sometimes it pays to wait to take a second trip down the aisle.
In some cases, thoughtfulness is more important than quick actions when you're looking to expand.
Democratic support could bode well for future legislative threats, as critics of the rule turn their attention to new Department of Labor secretary Alexander Acosta.
While getting Supreme Court Justice Neil Gorsuch confirmed was a major win, Mr. Trump has stumbled in many other important areas.
With domestic stock valuations high, investing overseas could finally pay off.
Litigation over these agreements often favors the firm, but there are ways for advisers to protect their businesses.
The proposed Financial CHOICE Act lays out a series of tough provisions the SEC would have to meet to adopt a uniform fiduciary standard.
In one example, Scott Allen Sibley allegedly exposed risk-averse retiree to naked options.
