Four-person Undivided Wealth Management is based in St. Louis.
SEC commissioner says the Department of Labor rule set up an 'unworkable, impossible set of standards for people to comply with.'
Top regulator says the relationship model is different with a broker or investment adviser, but both must put clients' interests ahead of their own.
As a wave of mergers hits the asset management industry, some analysts question whether the firm should make an acquisition
New owners plan more growth for the software service provider.
Transactions pose inherent risks to policyholders, such as the buyer having a weak credit rating or increasing contract fees.
Thomas W. Lee claimed Barclays shortchanged him after he guided sale of advisory unit to Stifel Financial Corp.
The chairman and CEO wants to set a better example for his colleagues by not always being the first one in the office and the last to leave.
Agency says Tibor Klein used 'material, non-public information'
Becoming an outsourced chief retirement officer could help combat fee compression.
Director Brett Redfearn clarifies how the SEC defines 'best interest' and how it will determine whether a broker is in compliance.
However, it likely won't bar employees from filing 401(k) lawsuits against their employers.
Endeavor Wealth Advisory Group is based in Rochester, N.Y.
Fuad Habba deposited checks drawn on closed accounts.
The three-judge panel split again, 2-1, in deciding not to take another look at the motion to intervene by California, New York and Oregon.
But one year of higher health care costs may be worth it to lower RMDs and taxes in the future.
Wirehouse creates two new training programs and brings in a firm to help it find ethnically diverse candidates.
Allan Holeman failed to disclose three IRS liens totaling $157,000.
Variable annuity sales were down again, however.
