Abiding a well-crafted IPS can help minimize legal trouble for plan fiduciaries.
Cerulli says 'concern for fiduciary alignment' will color product selection.
Fraudulent posts criticize the DOL fiduciary rule, and other groups overseeing advisers are similarly vulnerable.
Finra says the bank's ratings system was riddled with errors and cost clients money.
Live Oak Bank provides financing for transition costs. When you're ready, our Investment Advisor lending team can structure a deal free from the headaches of seller financing.
The backlog for appealing an adverse decision before an administrative law judge averages 605 days.
The proposal is a worthy effort that needs tweaking, so weigh in during the Jan. 2 to Feb. 2 comment period.
Leon LaBrecque, managing partner at LJPR Financial Advisors, offers guidance on Washington's major overhaul.
Advisers say to accelerate deductions, if the client's county allows prepayment and the client can afford it.
Glen Smith, Robert Casey and two in staff set up shop in Mound, Texas.
State would require products best suited for clients to be sold over those most profitable to sellers.
Finra says Bear Stearns' flawed system led to securities segregation issues
Failure to supervise rep's efforts to woo elderly costs firm $125,000 in Massachusetts.
Father-daughter team of John and Deanna DeRosa in Newport Beach join employee channel.
John James informed the regulator that he would not give testimony during its investigation into Merrill's allegations.
The bill slashes the corporate tax rate to 21% from 35% and cuts individual tax rates across the board.
Even if the stock market falters, financial stocks should do well in a rising interest rate environment.
Organization showcases support from pro-fiduciary consumer groups, but not everyone is on board.
SEC and Finra say firm failed to implement reasonable anti-money laundering procedures.
If she suspends her retirement benefits, she can't collect survivor benefits.
