A recent third-party report showed Finra fines up in the first half of 2018, but the regulator declined to project this year's numbers, saying only that penalties fluctuate.
Purchase of Rand & Associates gives 1919 Investment Counsel a physical presence on the West Coast.
Many of them previously worked at A.G. Edwards, the firm founded by the great-great-grandfather of Benjamin F. Edwards & Co.'s CEO.
Financial advisers say the move will leave their clients vulnerable and sets a bad industry precedent.
The retirement landscape could be transformed, so advisers should pay close attention.
Washington University in St. Louis joins other colleges that have prevailed in court.
Goal is to 'create a single point of accountability for the examinations of firms'
Five deals in five months lift the fledgling hybrid RIA to $5.5 billion.
Your statements to an auditor could come back to haunt you should the issue escalate.
Paper by the National Bureau of Economic Research shows Republicans invested more in U.S. stocks following election of Trump.
Rising demand for defensive assets casts shadow over post-crisis bull run.
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Kudos to the NAIC for making LTC policies safer.
Financial professionals give hours, money and innovative ideas to help others
Hong Kong leads this year's list, which also includes Munich and Toronto.
Encourage clients to review their drug coverage and Advantage plans for 2019.
Action comes as SEC continues crackdown on low-priced securities.
FPA seeks policy influence at state, federal levels; CFP Board thinks states should not get involved, and NAPFA agrees.
Regulators are done warning firms about data security and Voya receives a first nip.
