RIAs should know better than not to disclose 12b-1 fees, says Enforcement co-director Peikin.
Research has shown FIAs can outperform bonds, making them a solid bond alternative.
Craig Stiles, Gregory Miller and Nathan Clark join employee unit in Lansing, Mich.
Deals during the first nine months of 2019 have already surpassed the total for all of 2018.
Employers will be able to default participants into receiving their plan disclosures electronically.
Its announcement brings the amount divested from his firm to more than $2 billion.
Boca-based Robert Marton and John Bute have joined Lido Advisors, headquartered in Los Angeles.
Roper Fields, Thomas Fields and B.V. Lawson join employee unit in Cool Springs, Tenn.
In a seven-page FAQ, the agency takes a hard line on 12b-1 fees.
A new law helps people determine what happens to their digital assets after they die, but the law's provisions only apply if they take specific action
Craig Stiles, Gregory Miller and Nathan Clark join employee unit in Lansing, Mich.
Bratton DuBose, Daniel Bettencourt and Rebecca Damann join Ashton Thomas Private Wealth in Bozeman, Mont.
In a seven-page FAQ, the agency takes a hard line on 12b-1 fees.
The company believes the move will help advisers compete for business.
Roper Fields, Thomas Fields and B.V. Lawson join employee unit in Cool Springs, Tenn.
His firm's hardball culture reels in billions.
Her lawyer accuses Finra of throwing book at her while letting Morgan Stanley off the hook.
Elderly fraud often involves professional firms and companies, including banks, financial advisers, insurers and law firms.
The bank's stock has barely moved since its scandals began in September 2016
Its move brings the total yanked from Fisher Investments so far to $1.8 billion.
