The deal creates a global active management complex with $320 billion under management.
ClientWorks, the company's adviser dashboard, is now available to more than 11,000 advisers, up from 500 this time last year.
Firm agreed to a settlement that includes a $125,000 fine and $102,632 in restitution.
First post-merger mutual fund already filed.
Unless, of course, you want to beat the S&P 500 over the long term.
Ironmark, which has $340 million of assets, sought scale and resources to compete for clients.
Expanded distribution, consolidation and some lower fees expected.
Industry trade group, as well as some mutual fund giants, push back against Financial Stability Board's proposal for stress tests.
The firm allegedly conducted an unethical, high-pressure, sales contest among its advisers to encourage clients to borrow money against their brokerage accounts. <b>Plus: <a href="//www.investmentnews.com/article/20160819/FREE/160819909/morgan-stanley-hit-with-150-million-401-k-lawsuit-for-self-dealing"" target=""_blank"" rel="noopener noreferrer">Morgan Stanley is being sued over its 401(k) plan</a>.</b>
Political leaders can put themselves in a better position to understand Main Street's needs by developing stronger ties to independent financial services firms and advisers.
Plus: Claims of a better robo platform, a bright spot in a dim economic recovery, and health insurance won't be less expensive this year or next
This is the choice we all face on Nov. 8 &mdash; two flawed candidates &mdash; neither of whom represents the principles we aspire to ourselves.
New Jersey man is last of three men to be sentenced in $5.6M scheme centered around iconic clock at Grand Central.
Actionable disclosure information is central to fulfillment of fiduciary obligations and plays an important role in advancing the profession.
Organization that provides financial services to Christians says it would not be able to use its dispute resolution mechanism if it had to adhere to the new regulation allowing class actions.
Plus: Morgan Stanley proves Trump correct on market bubbles, the sad story of Sanjay Valvani, and Obamacare moves closer to intensive care
Some brokerages know what their new annuity commissions will be in response to the regulation. Why are they staying quiet? <b><i>(More: <a href="http://www.investmentnews.com/section/fiduciary-faq" target="_blank">The top FAQs on the DOL fiduciary rule</a>)</i></b>
Agencies brought more cases against registered advisers than unregistered entities, and certain products featured in many of them.
