The settlement would make the harmed investors whole, but can they collect?
Parent of FSC, Royal Alliance, SagePoint and Woodbury added $13 billion in AUA.
Charges firm's execs with lying to investors in real estate deals.
Data analysis can illustrate how healthy behavior increases longevity and reduces retirement expenses.
Increasing longevity is a key factor explaining why a growing portion of Americans aren't ready for retirement.
More smaller transactions brought the average size deal down to $881 million from just over $1 billion in 2016.
Diverse efforts and a tweet from Trump came together for rescue
Limited services available in field offices during funding lapse.
Michael Kitces and Alan Moore want paying for financial advice to be as easy as Netflix subscription.
Broker-dealer regulator calls it an outcome of a Finra360 self-examination.
The 0.05% fee is ostensibly a response to Vanguard's distribution model, but may also make the company's funds less attractive due to higher cost.
Broker Christopher 'Smitty' Cervino and investment adviser Sheik F. Khan defrauded investors out of million of dollars, according to the U.S. Attorney's Office.
Firm says he was not fired for sexual misconduct.
Firm to merge U.S., global wealth management units on Feb. 1
The vast majority of financial services professionals still fail to incorporate home equity planning or reverse mortgages into their practices
Outdated assumptions about younger investors risk harming their returns.
Those challenging the constitutionality of administrative law judges argue their increased powers mean they should be appointed, not hired.
Don't expect a simple rollback of rules under the Trump administration in 2018 — instead, regulators are on pace to bolster financial adviser oversight.
A growing number of states are looking to pass rules preventing exploitation of seniors
