Urges Congress not to miss "once-in-a-generation opportunity."
Even piles of investments that appear diverse could suffer big losses in the event of another market crash.
Scottsdale, Ariz., duo affiliates with LPL and Stratos Wealth Partners.
Platform designed to serve its members' next-generation clients will incorporate robo-advice and socially responsible investing options.
Finra says Jaime Rodriguez bought two apartments with $200,000 from blind, elderly customer.
Reps collectively managed $423 million at their former firms.
The Trump administration is signaling its intent to remove the fiduciary rule's provision regarding class-action litigation. Here's what broker-dealers and RIAs need to know.
Mr. Buffett previously invested $5 billion in Bank of America in 2011
One observer says agency is trying to give certainty to markets; another asserts it is executing pre-determined course to water down regulation.
Aaron Johnson took $620,000 in excessive fees from clients.
Financial Services Institute says extra supervision would result in a 'CFP tax,' while mother of Labor Department regulation cheers revisions to standards of conduct.
Forecasts of costly damage for the oil-producing region, but wider consequences unlikely.
The three-member adviser team expands the footprint of Syntal Capital Partners.
SEC suggests a final decision on its proposed continuity rule with heightened requirements will come in April.
Ms. Bennett allegedly spent some of her ill-gotten gains on luxury goods, mystics and $500,000-a-year suite at AT&T Stadium in Dallas.
In 2010, when the estate tax was temporarily repealed, gross charitable bequests in IRS tax filings dropped 37 percent, and some fear it could happen again.
On average, their choices tended to return about 1.12 percentage points less than the ones they didn't recommend, according to a new study.
Such deals allow them to get out from under the cost of running a broker-dealer, but preserves their brand and culture.
Action could lead to permanent suspension and revocation of his CFP certification.
Sonya Camarco stole money from clients for 13 years, regulator claims.
