Additional features aimed at boosting ease of use, robustness of adviser database
Finra requested comments two weeks ago about disclosing more info through BrokerCheck - including brokers' exam scores. Reps' responses? Less is more.
Fourth big signing for firm this year; 'a great mousetrap'
The Financial Industry Regulatory Authority Inc. is looking for input on how it can increase investor use of its BrokerCheck system.
Arnold named CFO; currently head of strategy
Adviser turns camera on middle America; two RVs, a crew, and plenty of highway
Jackson National Life Insurance Co. will pay $621 million in cash for the life insurance assets of Swiss Re Group's American division
Getting referrals gets easier with Retire Logix, PlannerSearch hookup
In-force VA block lapse rate jumped by nearly 50% after Hartford announced it would leave annuity biz; many contracts in the money
Company not prepared to put annuities manufacturer on its platform
Multistate settlement follows review on whether companies were holding funds that should go to beneficiaries.
Brokerage ordered to pay $3.7M for jacking up prices on tax-exempt bonds and CMOs; head trader suspended
Carrier's wholesalers met with advisers as recently as last week, said insurer was “committed” to annuity space
David Lerner has continued to improperly pitch nontraded REITs, according to an amended complaint filed last month by the self-regulator.
