Purshe Kaplan Sterling allowed its agents to conduct thousands of transactions involving the complex products as investment adviser reps for another firm.
Stocks fell as President Joe Biden warned of an imminent Russian attack on Ukraine, combined with other concerns, like rising inflation.
The firm reported a 9.4% decline in the number of advisers last year, but said it had 2½ times more recruited assets in 2021, at $929 million, compared to $363 million in 2020.
The three advisers, who operate as Outcome Private Wealth in Salt Lake City, are affiliating with LPL through OSJ Stratos Wealth Partners.
Matt Vanden Heuvel and his team operate as Vanden Heuvel Wealth Management of Raymond James in Appleton, Wisconsin.
The bank’s existing broker-dealer will remain in place for corporate and municipal underwriting.
Coinbase Global, Gemini Trust and Robinhood Markets are among the companies working to comply with the Treasury Department's 'travel rule.'
The length of the marriage, whether the individual claiming benefits has remarried, and the age at which they're claiming all affect benefit amounts.
Morningstar Retirement Manager will use Hueler's platform to help individuals include guaranteed income products in their retirement plans.
Now that the broker standard of conduct has been in force for 20 months, the debate over its effectiveness is intensifying.
The New York-based robo-adviser, which landed its largest capital funding round to date in September, for a valuation of $1.3 billion, could now have a significant bull's-eye on its back for potential buyers.
In her new role as head of ESG at American Century Investments, Sarah Bratton Hughes says she's ready to push the firm into the megatrends that will dominate the next 20 years.
The SEC and the Justice Department are looking at how bankers, including those at Morgan Stanley and Goldman Sachs, work with hedge funds to carry out stock sales big enough to send prices tumbling.
Blend Wealth's co-founders are using their own experiences to help other blended families get on the same page financially.
DFA and Midland National are working with RetireOne on its contingent deferred annuity, which launched last October.
Sarasota-based Generations Wealth Planning is led by a father-and-son team, Rob and Kevin Lyons.
It's the agency's second round of Form CRS compliance cases. The SEC is encouraging firms to self-report delinquencies.
Isaac Grossman hopped from firm to firm over his 13 years in the securities industry, and eventually was permanently barred from acting as a broker by Finra.
The Altamonte Springs, Florida-based team is using the services of Synergy Wealth Alliance, an OSJ affiliated with LPL.
Small plans still bear higher fees than large plans, according to a book that compiles data on retirement plans.
