Hurricane damage to island may complicate settlement of claims on munis and closed-end funds.
Phil Nguyen and Todd Ferreira in Campbell, Calif., were with Purshe Kaplan Sterling.
Letter of consent comes after firm paid $1.5 million in related arbitration case.
Demand for mandatory pre-loan counseling outstrips supply as Oct. 2 looms.
Legislation would allow brokerages to produce fund reports not classified as sales offers.
Plaintiffs allege GE breached fiduciary duties by selecting proprietary funds.
There appears to be money for "pure" record keepers that don't use asset management fees as a crutch.
A dichotomy in the tax treatment of retirement deferrals and business income could discourage creation, maintenance of plans by some pass-through entities.
The regulator alleges the brokers recommended a pattern of high-cost frequent trading without telling clients that such a strategy was unlikely to produce profits.
Sonya Camarco accused of diverting more than $850,000 from client accounts.
New details of President Donald J. Trump's tax plan released Wednesday propose cutting the top individual rate to 35%, while leaving it to Congress whether to create another bracket for those with higher income.
Capital Guardian's $593 million RIA is not part of the sale.
Guide will give employers a chance to put their best foot forward in competitive labor market. Registration ends Friday.
An administrative law judge ruled in favor of Ms. Tilton over allegations that she and her firm, Patriarch Partners, bilked investors out of more than $200 million.
Lower tax rates for pass-throughs would benefit business owners, including many of them, but details surrounding capital gains taxes and the AMT are vague or nonexistent.
Don't panic, but seize the chance to investigate other firms
Retirement-savings proponents remain vigilant in protecting deferrals as GOP releases tax-reform framework.
Legislation would establish a different best interest standard that would require brokers to disclose the compensation they receive and any conflicts of interest that are linked to investment products they sell.
Female clients prefer female advisers, the fund giant has found
Barbara Waters oversaw administrators in firm's wealth management group.
