Despite record enforcement at the agency, the senator focused on Ms. White's 'brazen conduct.' <b><i>(More: <a href="http://www.investmentnews.com/article/20160904/FREE/160909989/why-financial-advisers-hate-elizabeth-warren" target="_blank">Why advisers hate Elizabeth Warren</a>)</i></b>
First Heartland Capital broker Jerome Scott Krause liquidated some of their investments without consent
The broker wired funds to a business account to pay himself a higher salary, unearned commissions.
The Thrush Group will be the 10th transition to HighTower this year.
A home equity conversion mortgage — more commonly known as a reverse mortgage —is becoming harder to dismiss as an income tool for retirement plans.
The threat of cyberattacks is very real in the financial advisory industry, but not all advisers are getting the message.
Debra J. Ferrara agreed to be fined and suspended for releasing funds after a client's email account was hacked.
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Both the 2016 and 2017 proposed fiscal budgets included a $3.4 million limit on retirement savings for an individual.
Advisers can avoid all of these 60-day rollover issues by using only direct trustee to trustee transfers whenever possible.
Planners are tweeting and posting to the web more &mdash; and many are gaining new clients from the effort.
Laurence I. Balter, founder of Oracle Investment Research, also allegedly charged clients both an advisory fee and a fund-management fee.
The broker borrowed $300,000 total from two clients in violation of Finra rules and firm policy.
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The ever-present push toward lower-fee products and services plays a large role in advisers' consolidation of providers.
LendingRobot allows planners to create client accounts with unique risk and investment profiles.
Lessons can be learned from larger firms that have completed Finra's examinations, and from the safeguards they've built to avoid future problems.
Some argue that company-sponsored plans, viewed as the holy grail of asset management, are greatly in need of more options.
