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.
Investor alert advises wariness over too-good-to-be-true stock stories.
The current environment is one step along the continuum toward transparent pricing in alternative assets.
Compliance experts say the changes would focus enforcement on investor harm.
RIA firm based in Evansville, Ind., has 13 employees.
Regulator said firm's review system was 'flawed in significant respects.'
Clients who buy long-term-care insurance in their mid-40s to mid-60s can get favorable rates.
Bankrupt real estate developer and its founder, Robert Shapiro, accused of targeting 8,400 investors.
Clients still have time to set up accounts before year-end, but some contribution deadlines have passed.
LPL was deemed liable for not supervising the broker, Charles Fackrell, who has been sentenced to five years in prison for defrauding clients.
Broker-dealer regulator's effort to be more transparent about finances stems from ongoing self-evaluation.
