The regulator cited a broad breakdown with the firm's failures to supervise client and adviser information.
CEO Rob Francais turns RIA sellers into owners
$300M adviser launches firm in Naples, Fla., to serve affluent individuals and families.
Firm's `100-year-plan' includes future deals in March and June, says CEO Rob Francais.
The president of Cambridge Investment Research discusses the culture she is working to foster at the firm and the leadership lessons she has learned.
Amy Webber will become the firm's new chief executive, while Mr. Schwartz takes on the role of executive chairman.
Mergers can represent a very useful strategic path where the owner of the merged entity becomes part owner in the surviving entity.
Financial advisers are feeling heightened pressure from regulators and clients, Natixis finds.
Keep money goals in line with reality and encourage clients along their journey
Take time to work on your business, as well as in your business, and the coming year could be more pleasant that the last.
Let's build a tribe of like-minded advisers and clients who understand the importance of life beyond the numbers.
The financial services industry must engage clients on their terms and where they live.
Replacing Mark Casady as chief executive, Mr. Arnold is slated to receive $5.4 million in total compensation next year, almost three times the $1.85 million he earned in 2015.
A financial advisers' purpose is to present the options, not pass judgment.
The pair are accused of artificially moving prices of lightly traded stocks, via 23,000 trades over a two-year period. <b><i>(More: <a href="//www.investmentnews.com/article/20161011/FREE/161019981/sec-sets-record-in-enforcement-actions-against-investment-advisers" target=""_blank"" rel="noopener noreferrer"> SEC sets record in enforcement actions against investment advisers </a>)</i></b>
Because employee carelessness is a leading factor in internet troubles, advisory firms should offer regular training on best practices, experts say.
By engaging diverse professionals, we can tap into their passions for the benefit of the profession.
