Firm will repay $447,000 to clients it overcharged for more than seven years.
A cost-of-living adjustment also raises IRA contribution limit to $6,000.
Robert Shapiro is settling claims he defrauded investors in a $1.2 billion real estate Ponzi.
The Investor Advisory Committee will vote Nov. 7 on suggesting the agency clarify, expand broker requirements.
Clients expect advice on tax-efficient withdrawal strategies.
Wealth management boss Andy Sieg says firm's withholding of fees and commissions is in line with competition.
The broker-dealer lost 56 brokers and advisers in the third quarter, and not all of them low-producers the firm wants to shed.
Agency wants to improve investor knowledge, but consumer advocate says seven-page example included in proposal has similar weaknesses to Form CRS
Market volatility could threaten retirement security.
The former partners provide a blueprint for what can go wrong in a business relationship.
The broker, Dennis Ferwerda, failed to cooperate in Finra's investigation.
There are 86,203 foundations in the U.S. with $890 billion in assets. Endowments and foundations have powerful missions, long time horizons and distinct operational/governance models for decision making.
Fintech firm now helping advisers with many office functions beyond digital advice.
Schwab official agrees chairman Clayton wants to finish reform package soon, but says top regulator will face challenge finding three votes to pass it.
Bankruptcy appeals panel said IRA and 401(k) assets obtained through divorce can't be shielded from creditors.
Seattle First Asset Management seeks the leverage of the nation's largest independent broker-dealer
The process, which took two years, involved serious planning and a lot of hard work.
Resonant Capital Advisors, Madison Investment Advisors cite business risks as one of the reasons for the separation.
Proposal would bar leveraged products from describing themselves as exchange-traded funds
Fired by Morgan Stanley in 2016, Bruce Plyer failed to give testimony in a Finra investigation.
