Company is offering clients complimentary, two-year membership to an identity theft protection and credit monitoring service.
Agency says Jovannie Aquino recommended series of frequent, short-term trades while charging commissions and fees for each trade.
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Executive says clients prefer to work with investment advisers because of the transparency, greater choice in investment options and fiduciary status of the business model.
The question is no longer about a statute of limitations but whether the regulator has the power to seek disgorgement at all.
For many retirees, the struggle isn't having enough money, but confidently spending what they've worked so hard to accumulate.
The decision by the Luminous team to leave First Republic could have far-reaching repercussions for the entire advice industry.
Nina Jessee was being investigated for complaints about alternative investments and outside business activity.
Daniel Nickow and Brett Salzer join employee unit in Deerfield, Ill.
As other candidates turn down the position, senior executives at the bank support the candidacy of interim CEO Allen Parker.
Donna Jean Flemming failed to implement adequate AML program, regulator says
The portion of clients with whom advisers discussed giving has risen to 58% from 46% in 2015, fidelity survey shows
Nicolas Barrios refused to take part in inquiry over private company he founded.
The partnership connects the robo with 3 million customers and $9 billion in Optum's HSAs.
James Crowley says the custodian is focusing on IT improvements and enhancing the client experience.
Given the changing outlook on Federal Reserve rate moves, fixed-income decisions taken last year warrant a rethink.
The overall savings rate has hovered around 10% of income for the past decade and a half, despite improvements in plan design.
Andy Saperstein expects some teams to reach $100 million in annual revenue in the future.
Two exceptions can ease the sting of offsets that reduce benefits.
The SEC rule takes the existing regulatory regime for broker-dealers to an entirely new level and preserves choice for investors.
