SEC says 10 separate provisions of the law were violated by two firms.
It marks the California based advisory network's 11th deal in 15 months.
FP Alpha and Morningstar provide fresh options to boost productivity.
Plaintiffs successfully sued American Airlines over an asset manager's ESG considerations in the proxy-voting process, and that could get the plaintiffs' bar quite interested in filing similar claims against 401(k) sponsors.
Even clients with high investment knowledge can make risky portfolio decisions. Advisors can provide a much-needed reality check.
Newbridge Securities failed to supervise advisors using margin in clients’ accounts, according to Finra.
With plans to retire, the outgoing president of the Texas-based IBD giant will be replaced by the giant RIA's current head of wealth management this spring.
Canadian bank's capital markets arm reportedly failed to detect representatives' misleading disclosures involving $3 billion of mortgage-backed "sliver bonds" sold over a multi-year period.
The wealth tech firms are expanding their respective networks with their first strategic partnerships for 2025.
The presiding judge found the airline breached its fiduciary duty under federal law by prioritizing non-financial considerations in its employee retirement plan.
With people looking forward to fresh starts and new goals in 2025, it's a prime opportunity for advisors to share their expertise on some popular themes.
The broker-dealer giant's new hires last year added more than $4.3 billion in collective client assets to its private client group.
Company says the latest disclosure is not linked to off-channel communication issues.
The banking giant is set to pay at least a nine-figure sum over collapsed lender's failure to cooperate with efforts to catch tax-evading clients, according to the Wall Street Journal.
Cross-currents from inflation, the stock market, and demand for protected growth are converging into a mixed picture, says Limra.
The experience of the 39th president, beloved long beyond his term in the Oval Office, sets a high standard of trust for advisors to live up to.
A regulator has banned the Islamic investment firm's campaign calling for a "money revolution" after multiple complaints led to a finding that it caused serious offense.
“2024 was a good year for industry, and this year feels like we’re being shot out of a cannon,” one senior brokerage executive said.
Twenty investment specialists are transitioning over to the insurance giant as it looks to strengthen its capabilities in higher-yield strategies.
Roughly two dozen specialists to support Merrill Wealth Management advisors on alts, custom asset allocation, specialized lending, and more complex services for elite clients.
