The Securities and Exchange Commission says the firm overcharged retail clients by at least $4.6 million on new municipal bond sales.
Junxure is the latest CRM system provider to roll out elearning tools for users.
It looks like somebody got killed on this after-hours exchange-traded note trade. The lesson? Beware thinly traded securities with a bid/ask spread you could drive a truck through.
Economics professor Teresa Ghilarducci explains her controversial proposals for mandated savings, risk aversion and avoiding fees.
High-income retirees could see net benefits decline as their Medicare premiums rise.
Advisers need to address environmental issues and how they will affect investments
The expectations many investors have baked into their financial plans for the future are based upon recent or historic gains.
While little has been spared in the energy-securities selloff — oil, junk bonds and even Chinese equities have been hit — smaller stocks have been the worst off.
A $2.5 billion broker who was fired this month for “inappropriate workplace behavior,” according to employment records, may have been too bullheaded for the thundering herd, his attorney said.
Advisers say the presidential hopeful and real estate mogul's investments reveal a scattered approach to money management. <i>(See <a href="//www.investmentnews.com/gallery/20150723/FREE/723009998/PH"" target=""_blank"" rel="noopener">the top five fund companies holding Mr. Trump's money</a>.)</i>
Anticipating an enforcement push, the broker-dealer told brokers that next year they will no longer be able to receive a fee or commission from retirement accounts belonging to family members.
Tactics include holding back on both the amount and timing of 401(k) matches and dragging out vesting schedules.
All is not lost: 'You might get 90 cents on the dollar, or you might get 30 cents on the dollar.'
Blended families face increased risks for fights over money, survey shows.
Analysts used to have the biggest voice on a stock market movements, but now it's influencers with a large social-media following who carry weight.
"Wonder Woman of Wall Street" plans to appeal decision, seek expedited review.
Big exchange moves suggest digital currency may have a future after all.
Transportation is one of the highest expenditures for older Americans, yet many advisers aren't pushing the mobility conversation with clients.
Curian Capital's unexpected announcement that it is closing shop at year-end has sent the $300 billion TAMP industry scrambling to woo advisers working with the $11 billion platform.
<i>Breakfast with Benjamin</i>: Puerto Rico has missed a debt payment. How will the fallout be felt by average Americans?
