Berthel Fisher, not long after settling most of their claims over DBSI, gets hit with a lawsuit over a failed private placement notes deal by a noted real estate investor. Bruce Kelly has the details.
The Uniform Law Commission and NetChoice are working separately to try to make it easier to close up accounts and transfer funds after the owner dies.
Five questions to determine if you have an effective strategy to serve your target market
New law will grant fiduciaries access to the digital assets of deceased or incapacitated individuals.
As the court battle over L.A. Clippers owner's trust shows, people too often set up estate plans to cope with death, not old age.
A deal, which would combine two of the biggest U.S. brokerages outside of New York, could be announced within days, according to a person with direct knowledge of the matter.
Revisions are a sign of pressure to come on the financial reform package.
Raymond James Financial continued to build on momentum as pretax profit in the private client group hit a record in the firm's third fiscal quarter, jumping 39% as profit margins reached 10%. What's CEO Paul Reilly doing right?
Settlement requires him to pay more than $500,000
Finra charges broker Dean Mustaphalli opened fund and received commissions without disclosing the business to his firm. Whether Sterne Agee clients were affected remains a mystery.
California Democrat cites stats showing that every year, SEC examines just 9% of the roughly 11,000 RIAs under its purview.
They offer a lump sum in exchange for pension income and engage in other questionable practices.
Morningstar reached an agreement with Business Logic, which had filed an intellectual property lawsuit against the research firm.
Employment may be headed for a "breakout year."
Business Logic Corp., a managed accounts software firm, is suing Morningstar Inc., claiming the company illegally replicated some of its software
The process of shopping for new technology can be daunting for advisers. Here's 9 best practices to make your life easier.
From improperly storing client data to misusing document management systems, here are the top mistakes technology experts see advisers making.
