The Securities and Exchange Commission chairman told securities lawyers that the agency would pursue violations wherever and however they occur.
Five are censured, three suspended, three revoked and two barred by the Certified Financial Planner Board of Standards Inc.
SFG Wealth Planning in Doylestown has $286 million in AUM and six employees.
The regulator wants to provide relief from in-person supervision until the SEC rules on a pilot program for online oversight.
In a break with tradition, the firm is introducing next year's pay plan for its 12,000 advisers earlier this year.
The triple tax benefits of health savings accounts can boost a nest egg while offering a way to cover medical expenses tax-free.
Mark D. Cunningham, a sole proprietorship based in Bellaire, Texas, was formerly affiliated with Raymond James.
The industry's overhead grew by $71 billion over the past decade, according to a new report, and the solution will be fewer products, de-layered workforces and more reliance on technology.
Blaine Franklin joins Raymond James Financial Services as owner of Blaine P. Franklin Financial Services in Rifle, Colorado.
Schoeff's “D.C. INsider” series was deemed the best news/political blog.
The company intends to rebrand itself as Avantax, which is the name of its wealth management group.
The firm is in talks with the Consumer Financial Protection Bureau regarding cases involving automobile lending, consumer-deposit accounts and mortgage lending.
The new platform will leverage technology to help financial advisers move clients onto the platform for personalization and tax management.
This list is longer than you might have thought, and it’s more confusing than ever before. And the penalty is still 50% if the RMD isn’t taken.
The SEC charged Syed Arham Arbab and five friends with trading with fake account deposits, in a 'free-riding' scheme that caused two brokerages to lose $146,600.
While the firm filed a motion to vacate the award in Superior Court in DeKalb County, Georgia, it's extremely rare for courts to overturn Finra arbitration decisions.
With the old-school mutual fund wrapper continuing to suffer during the down-market cycle, alternative strategies represent a lone bright spot.
The firm's president says sustainable investing is a long-term approach: 'We try to invest in the next economy rather than the last economy.'
Some funds held in many retirement savings plan have large holdings of stocks like Meta, Amazon.com and Apple, which is hurting the funds' performance this year.
Learn about a strategy for deferring taxes—and even changing ownership structures—as your clients move from one real estate investment to another.
