He strikes back at critics including Elizabeth Warren, who called the new rule a gift to Wall Street.
Given the thin margins in the retirement business, firm says it was justified in cutting deals with money managers to boost profits.
The best way to gauge how well you are positioned and whether you have a competitive offering is by measuring how many new clients you are bringing in.
Advisers working with survivors should focus on more than just the financial and legal aspects of their situation
Momentum is on the side of legalization at the federal level
PIABA: It falls short of solving unpaid arbitration. FSI: It gives Finra too much power.
Some define it as starting their own firm, while others insist it means having full control over investment products and client relationships
Echelon Partners is predicting M&A activity in RIA space will be up 11% in 2019.
In 2016, Vincent Storms changed broker audit information and avoided follow-up work.
Changes to forward-looking analysts' ratings could lead to more downgrades than upgrades
Despite some good news, concern about the economy and trade persists.
The broker, Pedro L. Gonzalez-Seijo, was charged last summer with fraud.
Claimants received $850,000 in compensatory, $700,000 in punitive damages, $250,000 for attorneys
Finra's recent guidance on firms' communications with clients of transitioning advisers recognizes the importance of choice and continuity of service for clients.
SEC and Finra provide information on how securities rules apply to some of the complicated compliance issues posed by digital tokens.
Tax-free health savings accounts, Roth IRAs, insurance and annuities can help cover retirees' future health-care costs.
But clients may be underestimating the possibility of longer lifespans when they're planning for retirement.
Lower Social Security income is not just a possibility.
When it comes to investing and planning, more millennial women cede control to their husbands than women of previous generations.
QP Wealth Management specializes in serving wealthy clients and alternative investments.
