Summit Financial ends 17-year relationship with Lincoln Financial.
Urges Congress not to miss "once-in-a-generation opportunity."
Methods for charging client fees OK in some states, not others.
Scottsdale, Ariz., duo affiliates with LPL and Stratos Wealth Partners.
Platform designed to serve its members' next-generation clients will incorporate robo-advice and socially responsible investing options.
Even piles of investments that appear diverse could suffer big losses in the event of another market crash.
Finra says Jaime Rodriguez bought two apartments with $200,000 from blind, elderly customer.
Reps collectively managed $423 million at their former firms.
Mr. Buffett previously invested $5 billion in Bank of America in 2011
The Trump administration is signaling its intent to remove the fiduciary rule's provision regarding class-action litigation. Here's what broker-dealers and RIAs need to know.
Aaron Johnson took $620,000 in excessive fees from clients.
One observer says agency is trying to give certainty to markets; another asserts it is executing pre-determined course to water down regulation.
Financial Services Institute says extra supervision would result in a 'CFP tax,' while mother of Labor Department regulation cheers revisions to standards of conduct.
Forecasts of costly damage for the oil-producing region, but wider consequences unlikely.
The three-member adviser team expands the footprint of Syntal Capital Partners.
SEC suggests a final decision on its proposed continuity rule with heightened requirements will come in April.
Ms. Bennett allegedly spent some of her ill-gotten gains on luxury goods, mystics and $500,000-a-year suite at AT&T Stadium in Dallas.
In 2010, when the estate tax was temporarily repealed, gross charitable bequests in IRS tax filings dropped 37 percent, and some fear it could happen again.
On average, their choices tended to return about 1.12 percentage points less than the ones they didn't recommend, according to a new study.
Action could lead to permanent suspension and revocation of his CFP certification.
