Raymond James is the latest broker to join the tussle over compensation on the insurer's variable annuities
An industry coalition filed a petition requesting the agency bring its staff 'guidance' in line with existing regulations on disclosing compensation for recommending mutual fund share classes
After being stalled for months, the proposal has finally advanced and could be heading toward public release
Plaintiffs in the lawsuit argue the SEC exceeded authority by giving brokers too much latitude on advice
When they begin thinking about their endgame, the largest firms may not be able to find a buyer within their own broker-dealer network
Missouri-based Niklas Financial will align with JFC Financial Services, which moved to LPL from Securities America last month
More open and forceful action is required by investors and by corporate leaders and boards
Stiles Financial, exiting Cambridge Investment Research, retains own RIA
Encouraging clients to stay invested through the worst and best days is the most likely to result in a successful retirement outcome
Vision Financial Group moved to Cambridge the first week of May
Amid market volatility, it's important to remind them to keep their long-term goals in focus when making short-term decisions
Most advisers expect tax rates to go up, but opinions vary on how and when to plan for it
Buckley Financial Planning, a father-and-son duo, operates from two Ohio locations
Lawmakers have stepped in to provide relief to millions of Americans, but the laws come with unforeseen loopholes
The brokerage industry, which has a reputation for not always quietly abiding to external forces, has remained curiously silent on the impending changes
Two down, 48 states to go for sales rule
Regulation BI must be implemented by June 30, so why aren’t we hearing more about how brokerages are going to change the way they deliver investment advice?
The changes are designed to give the organization better access to information for disciplinary actions
Sixty-one percent said they anticipate financial difficulties in the coming months
Critics challenge the morality of fee-based advisers taking government bailout money
