Marcus Boggs pleaded guilty to wire fraud in March, and on Thursday was sentenced to 42 months in prison. One of the victims was a man who received approximately $5 million in a wrongful conviction settlement.
The questions that RIAs have about commission-free annuities right now are the very same questions they had just 15 years ago about exchange-traded funds, which are now a core part of client portfolios.
Advisers aren’t talking to their clients about SRI investing, or if they are, they aren’t taking it seriously — which will ultimately be to their own detriment.
The next exam, set for Nov. 2-9, will be offered both online and onsite.
Melanie Senter Lubin will start a one-year term as president of the North American Securities Administrators Association in September.
The Texas adviser, shunned for alleged racist comments, missed the memo on diversity benefits but exposed a broader conundrum facing advisers.
Ken South and his team open Tower 68 Financial Advisors in Newport Beach, California.
InvestmentNews Research asked financial advisers if they solicit advice from other advisers when it comes to planning their own retirement. Their answers may be surprising.
The regulator is probing how brokerages approve and monitor options trading for customers and is requesting information pertaining to self-directed accounts and accounts in which a registered representative made recommendations.
While there's some good news about women attaining corporate board seats, progress is still slow. Here are some suggestions on how women advisers can attain leadership roles.
Personal Portfolio, based in Redwood City, California, previously was affiliated with Investment Architects.
To fulfill our mission of expanding access to financial advice to all corners of the country, our membership and our profession must reflect the makeup of our overall society.
The company maintained its healthy recruiting pace over the first two quarters of the year even as losses continued to mount among its wirehouse competitors.
Robert Batick moves from Westport Capital, while Norman Coates made the switch from LPL Financial.
As a rookie adviser, Vidal Peoples met a doctor in need of comprehensive financial planning. He taps into the kind of professionals whose incomes can skyrocket but are also saddled with mountains of student loan debt.
Avan recently became SVP and head of global women's and under-represented talent strategy, global human resources for Bank of America.
The efforts of Shundrawn Thomas might seem almost subtle, but they are not. In fact, little about Thomas, the president of Northern Trust Asset Management, is subdued, although his demeanor and general presentation suggest otherwise.
The exchange will direct its listed companies to pursue board diversity — by having at least one female board member and at least one who identifies as a member of an underrepresented minority or LGBTQ — or explain why they don’t.
The advisers are based in Virginia and the Carolinas; there's also one rep joining Janney from Wells Fargo.
Eileen Cure was dropped from LPL after viral videos surfaced of her allegedly telling employees she will not interview Black job applicants.
