Federal prosecutors also accused James T. Patten, Peter L. Coker Sr. and Peter L. Coker Jr. of artificially inflating the price of two companies through manipulative trading.
Research uncovered three ways that investing platforms can foster a more inclusive and accessible environment for those living on a low to moderate income.
Limra estimates 86 million employees could have access to new insurance benefits within 2 years.
It's been win some, lose some for UBS as it defends its complex options strategy, but lately investors seem to be prevailing more.
Daniel Lerner, who's executive vice president of investor services at David Lerner Associates, faces potential disciplinary action over sales of energy funds.
Benjamin Link and Steve Sexton, who are forming Vero Wealth Management in Greensboro, are the 25th team to join LPL’s Linsco platform.
It may be time for advisers to talk to clients about reducing spending and either continuing or returning to work.
After years of consolidation, the platforms that solve the puzzle could win future advisers and their assets. The ones that don’t may find themselves acquired.
Here's a roundup of some of the adviser fintech news you may have missed this week.
The Republican party is favored to win the House in November's election. But even with control of that chamber, the legislative path for GOP bills is perilous.
U.S. Attorney’s Office files a parallel criminal charge against James McDonald, who is believed to be in hiding.
Many owners of small firms don't plan their exit properly — or at all. Here are things advisers should keep in mind to help business-owner clients make plans.
Andrew Hartnett, who's deputy administrator for securities in Iowa's Insurance Division, has put assessing the broker conduct standard at the top of his priority list at NASAA.
It's back to an 'organic plan' for the bank's wealth management business in the United States, says Iqbal Khan, co-president of UBS Global Wealth Management.
The Retirement Income Style Awareness profile matrix matches clients' preferences with financial solutions.
Sixty percent of workers say they're focusing more on their financial benefits compared to a year ago, according to the firm's survey.
Judge rejects Amy Cooper's suit against Franklin Resources in which she claimed racial and sexual discrimination and defamation.
But NASAA reports increase in both fines and restitution in 2021, with states collecting $145 million in fines and returning $312 million to investors.
The deal for NPB Financial Group in Burbank is the latest in a modest string of broker-dealer acquisitions occurring against the backdrop of the red-hot M&A market for RIAs.
The credential will confirm an adviser’s expertise in working with nonqualified deferred compensation and executive compensation plans.
