Brian Graff, executive director of the National Association of Plan Advisors, predicts the Trump administration will favor tax changes that will be well liked.
Three reps in Palm Beach Gardens, Fla., affiliate with independent unit.
Michael Breton of Strategic Capital Management sentenced for $1.3 million fraud.
Extraordinary level of activity attributed to an erroneous order.
Trio managing $270 million joins firm's employee channel.
An anti-retaliation provision in the 2010 Dodd-Frank law could insulate publicly traded companies from some whistle-blower lawsuits.
Other states could move in to plug the fiduciary gap if the DOL and SEC devise a watered-down standard.
Prompted by the DOL fiduciary rule, LPL has told its hybrid advisers they can offer education and outline options, but cannot advise clients to roll over their funds into an IRA.
Testimony at Block trial places REIT czar at center of alleged conspiracy.
The organization's efforts are another signal that the fiduciary movement is picking up steam; advisers should let their opinions be known.
If a city has money, it has a Hamptons equivalent.
Financial advisers should use the summer to evaluate all 2016 and 2017 Roth conversions for clients.
The SEC budget request for 2018 projects 1,044 full-time OCIE employees, down from 1,069 in fiscal 2017.
Some perceive a conflict of interest in advisers supplying investment performance — regardless of adviser type.
All-public arbitration panel says firm breached fiduciary duty.
Firm censured for inaccuracies and errors in OTC options reports from 2008 through this year.
Fidelity, Aon Hewitt and Xerox HR Solutions are currently defending against similar fiduciary-breach claims.
He doesn't provide details, but says that he shares SEC Investor Advisory Committee's desire to help older investors know their advisers
Workflow changes are a big challenge of the fiduciary rule, says Aite report
