Firm's agreement with Fidelity's National Financial Services allegedly forced clients into more expensive share classes.
Record M&A activity in the second quarter is seen as just the beginning.
Uncertainty looms over how much opposition even a quarter-point cut will face and how much the U.S. economy is likely to slow.
Matthew Pruitt and Matthew Fisher join employee unit in Doylestown, Pa.
Don Marron and the $11.8 billion RIA ride the wave of private-equity ownership.
PCS Retirement acquires Aspire Financial Services
Eric Nichols didn't tell firm he paid $28,000 to settle a customer's complaint.
TD Ameritrade study finds lead advisers and associates also getting younger.
Former adviser found guilty of 17 federal charges, gets maximum sentence.
North American Securities Administrators Association sees room for improvement in supervision.
But overall effectiveness of new advice standard still likely to depend largely on honor system.
Some practices will seek operational assistance by joining a super-OSJ network, while others will partner with a smaller firm that may be able to offer them more personalized service.
Fintech wants to help satisfy a growing adviser demand to offer HSAs to clients.
Organization says it will no longer rely on self-reporting of disciplinary backgrounds and is creating a task force to reform its enforcement practices.
With 100 million consumers at risk, advisers are reminding clients to follow basic cybersecurity practices.
Change is slow as advisers struggle with managing too many providers.
The latest setback is a lawsuit from an auto dealer who sold a majority stake in his company to GPB and accuses the firm of 'a massive securities fraud.'
A survey of U.S. parents with college-bound students finds three-quarters are at least somewhat concerned about their child's education costs.
Giving up 48% over 2018 period; last year's giving totaled $5.2 billion.
The new impact quotient pairs impact objectives with investments
