The provision was rejected as an amendment to the Senate Finance Committee's EARN Act, but it could reemerge in a final bill sent to the floor of the House and Senate.
The 'external system breach' put the Social Security numbers of 2,188 of the firm's clients at risk, according to the Maine Attorney General's office.
The acquisition of Winfield Associates adds to MAI's financial planning and investment teams at its headquarters in Cleveland.
There are important things to consider when selecting a platform that researching online or LinkedIn won't tell you.
The team in Lake Charles, Louisiana,, now known as Woods Brignac Wealth Management of Raymond James, moves to the firm’s employee channel.
Workers now see maintaining their current standard of living as their top financial priority in retirement, replacing more lavish plans, according to a new study.
Part of the record penalty imposed last year on Robinhood will be used to help potential future customers protect themselves, according to Finra's annual report on fine monies.
A Finra arbitration panel rules in favor of Erin Daly, who filed a federal complaint against Citigroup alleging gender discrimination.
While it might be a lousy long-term investment, gold has a proven track record of rising to the occasion when times are tough.
Relationships with clients are built on trust. Here are ways advisers can help accelerate the trust-building process.
Oklahoma, Texas firms form Gaddis Premier Wealth Advisors. David Reed will serve as CEO of the new firm.
Some investors worry that higher living costs, rising bond yields and weak trailing equity returns may lead to household capitulation in the equity market.
The half-time scorecard indicates that four predictions are 'heading in the right direction' and six are 'too soon or too close to call.'
Mikail Qazi and Timothy Martin are joining UBS Private Wealth Management in Washington, D.C.
Their attorney, Jeffrey Erez, said they were misled by UBS brokers who didn't understand the risky product.
According to the website Ponzitracker.com, the number of Ponzi schemes uncovered by authorities dropped 26% last year.
Advisory firms' challenges when it comes to alts range from getting access to investments, meeting minimums, figuring out how to subscribe and the headache of performance reporting.
Equity funds see $16.8 billion outflows while bonds saw redemptions of $23.5 billion.
The new Maintaining Qualifications Program reconciles Finra licensing requirements with common career and family timelines.
As rising costs cause many to contemplate lifestyle shifts, one question that keeps popping up is whether the spending cuts should include investing for retirement.
