The backlog for appealing an adverse decision before an administrative law judge averages 605 days.
Leon LaBrecque, managing partner at LJPR Financial Advisors, offers guidance on Washington's major overhaul.
State would require products best suited for clients to be sold over those most profitable to sellers.
Advisers say to accelerate deductions, if the client's county allows prepayment and the client can afford it.
Glen Smith, Robert Casey and two in staff set up shop in Mound, Texas.
Failure to supervise rep's efforts to woo elderly costs firm $125,000 in Massachusetts.
Father-daughter team of John and Deanna DeRosa in Newport Beach join employee channel.
Finra says Bear Stearns' flawed system led to securities segregation issues
John James informed the regulator that he would not give testimony during its investigation into Merrill's allegations.
Organization showcases support from pro-fiduciary consumer groups, but not everyone is on board.
The bill slashes the corporate tax rate to 21% from 35% and cuts individual tax rates across the board.
Even if the stock market falters, financial stocks should do well in a rising interest rate environment.
SEC and Finra say firm failed to implement reasonable anti-money laundering procedures.
A re-enrollment is a large undertaking, but advisers can easily determine if one is warranted.
If she suspends her retirement benefits, she can't collect survivor benefits.
Senate confirms Preston Rutledge to key Labor Department role, while Hester Peirce and Robert Jackson Jr. join SEC as commissioners.
Next year looks good but not great for stocks and bonds, barring a spontaneous collapse in prices.
You still have time to set up accounts before year-end, but some contribution deadlines have passed.
The current environment is one step along the continuum toward transparent pricing in alternative assets.
Clients who buy long-term-care insurance in their mid-40s to mid-60s can get favorable rates.
