Ladenburg Thalmann subsidiary agrees to pay restitution of almost $250,000 for overcharges.
Calif.-based Continuum Advisory makes change after only 20 months.
Conservative bond portfolio will return only about 3% annually over the next decade, making it hard for pensions to meet their targets.
Vulnerabilities include access-management systems and people processes, according to report on exam findings.
Market forces like fee compression and new regulations are driving the shift, but resistance to tech remains strong.
Broker-dealer self-regulator summarizes deficiencies on areas including product suitability, cybersecurity
Senate Banking Committee approves measure as part of larger Dodd-Frank reform bill.
Senate measure's handling of such small-business income is simpler and makes allowances for more service companies.
Four Points Capital Partners clients of Zachary Berkey and Daniel Fischer said to have lost $573,867.
University of Kentucky professors at MarketCounsel Summit say letting advisers "own the client relationship" benefits industry employers.
Sixty percent of retired boomers said life is better than they had expected.
Business improves when advisers upgrade technology for client acquisitions, account servicing and asset growth.
Employers are increasingly paying insurers to cover their pension liabilities
Firm censured, agrees to provide remediation to clients affected.
Selling a home or securities can push clients into a higher income tier, triggering premium increases.
Faster, safer and cheaper financial transactions will reduce the need for middle men.
Holding company seeks to acquire more IBD shops as M&A deals continue to heat up in 2017.
Luxury developer in SEC fraud investigation leaves elderly investors without monthly dividend.
Wirehouse also plans to give the digital-advice platform, Access Investing, to its team of human financial advisers as a tool to connect with younger investors.
Double the number of characters means better tweeting, right? Let's think about that
