Arbitration panel says firm failed to supervise former broker's unsuitable transactions.
Brian McIntyre says Finra laid off mostly older workers after it lost a regulatory contract with the NYSE in 2016.
The record keeper joins some other big competitors in offering participants their money back if their accounts get hacked.
Securities Industry Essentials general knowledge tests begin Oct. 1, but there's still little awareness among the public about the opportunity.
Rothification, which set off a furor in 2017 as Congress debated tax reform, could find its way into new bills next year, experts say.
But advisers say they don't see using apps like Zelle or Venmo to collect client fees.
Affluent clients are confident about retirement plans, but not medical expenses
The firm notified brokers that new clients can choose whether or not to allow advisers to take their information with them if they leave the firm.
Fintech companies are using data to develop next-generation metrics for advisers.
UBS exec Richard Steinmeier will replace Bill Morrissey, who is retiring after a number of LPL recruiters jumped ship.
Cerulli analyst says 401(k)s reliant on capital market returns, whereas IRAs are popular rollover vehicles.
Massachusetts securities czar says insurer's failure to make pension payments enabled it to lower reserves
The extent to which an employer can completely remove fiduciary liability through outsourcing is an unresolved issue.
Firm will also pay $1.1 million in restitution after SEC finds improper sales of market-linked securities.
Boutique firm has recruited eight financial advisers in the past two months, including four from Merrill Lynch.
A revocable trust with a co-trustee might have averted the former astronaut's battle with two of his children.
Contributing editor tests a long-held dream for her retirement and finds it lacking.
Buying the tools is only the beginning. Firms must follow up with incentives, training and hand-holding for some.
Artificial intelligence, Amazon and robo-advisers are some of the topics on the minds of tech experts.
As adviser technology continues to expand, how should a firm go about building the ideal tech suite?
