Estimates range from $5,000 to $20,000; sharp opposition to Finra getting involved.
Technology platform will combine digital advice tool with customer relationship management and portfolio management systems.
Finra said the firm failed to deliver documents after ETFs were purchased by clients.
Even the best-drafted arrangements can fall apart, so it's important to have a backup
Entrepreneur goes where life is slow and the Internet is slower.
The advice business must work together to ensure advisers have the resources and information they need to develop and execute strong succession plans.
Crisis triage easier when the brand is strong to begin with, experts say.
As more schools sign on, guarantees and tuition cost savings attract account holders.
Independent advisers get a dose of inspiration as Tony Robbins continues to champion their cause
More than 75% are clueless when it comes to drawing down income in their golden years.
Under Mary Jo White, agency is more prone to launch disciplinary action to correct violations than in the past
When advisers create more time to better engage their clients, they can build strong and rewarding businesses
With three retail firms in the past couple of weeks disclosing disappointing earnings related to compliance and regulatory issues, the question is: Where does this rash of regulatory actions come from?
Experimental market sessions show more women traders = smaller and fewer bubbles
In a strange combo, the 'Shark Tank' entrepreneur joined former chairman Christopher Cox in criticizing the agency for the way it handles enforcement actions.
Exec honed his listening and peacemaking skills growing up as the third of eight children and those talents have come in handy.
Finra said the firm overbilled more than 20,000 fee-based accounts in its RIA unit by $2.4 million over seven years and ordered it to pay a $350,000 fine.
Giles Money joins as a money manager in global growth equity strategies and Lucrecia Tam as an equity analyst focused on industrials,
How an activist closed-end fund investor became a greenmailer
Decision by advisers, including an executive director of the ultrahigh-net-worth group, to leave the firm and join Presidio comes amid management changes.
