Tax projections at this time of year will tell individuals their total tax liability for 2016, but that doesn't necessarily mean it all has to be paid before the end of the year..
The regulator also ordered John Leo Valentine to pay $140,000 in civil money penalties
'Dred Scott' comments by the SkyBridge Capital executive 'are so at odds with the DOL rule, law, logic and basic human decency, they demand a rebuke.'
System doesn't include reasons for advisers' employment termination and other details public needs before deciding who to hire, a new report found.
The desire to attain work-life balance is nothing new, but this trend brings both good news and bad news for our industry.
Measure requires brokers to establish trusted contacts on accounts and allows them to stop distributions in questionable circumstances.
State launches a sweep of 241 firms with above-average numbers of brokers with misconduct reports on their records.
Advisers know technology can improve efficiencies and foster strong client relationships, but some are finding the latest tools don't always deliver as planned.
The firm will announce details of its strategy to comply with the DOL fiduciary rule in the next two weeks. <b><i>(More: <a href="http://www.investmentnews.com/section/fiduciary-focus" target="_blank">The most up-to-date information on the DOL fiduciary rule</a>)</i></b>
Advisers can improve client outcomes and make their own lives easier by practicing one or two new techniques.
Average adviser has roughly 1,800 hours available in work year, but approximately 60% of it spent 'on crap,' Pershing's Tibergien says.
The best practices program will require advisers to charge reasonable fees and disclose them.
Jeffrey Howell allegedly overvalued a UBS customer's account by as much as $3 million.
CFO Paul Donofrio says the bank's decision "creates significant flexibility for our advisers, and we're delivering fiduciary, best-interest advice to clients.” <b><i>(More: <a href="http://www.investmentnews.com/section/fiduciary-faq" target="_blank">A comprehensive, searchable database of advisers' fiduciary FAQs</a>)</i></b> .
Despite record enforcement at the agency, the senator focused on Ms. White's 'brazen conduct.' <b><i>(More: <a href="http://www.investmentnews.com/article/20160904/FREE/160909989/why-financial-advisers-hate-elizabeth-warren" target="_blank">Why advisers hate Elizabeth Warren</a>)</i></b>
The broker wired funds to a business account to pay himself a higher salary, unearned commissions.
They have higher incomes and more assets than the general population, but fewer than one in five Asian-Americans has a financial adviser.
Planners are tweeting and posting to the web more &mdash; and many are gaining new clients from the effort.
Laurence I. Balter, founder of Oracle Investment Research, also allegedly charged clients both an advisory fee and a fund-management fee.
Plus: Revisiting the Janus-Henderson marriage, don't chase that record-setting IPO, and Curt Schilling aims to strikeout Elizabeth Warren
