LPL was deemed liable for not supervising the broker, Charles Fackrell, who has been sentenced to five years in prison for defrauding clients.
Broker-dealer regulator's effort to be more transparent about finances stems from ongoing self-evaluation.
Kim Le's outside business activities were subject of investigation
Getting even a rough sense of how governments influence share prices is a task fraught with peril.
The GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF would trade on the Cboe BZX exchange.
Under second proposal, CFP Board tweaks pre-engagement client disclosure, clarifies rules for non-financial-planning advice.
House Republicans passed the most extensive rewrite of the U.S. tax code in more than 30 years.
Regulator said non-standard trades led to firm miscalculating net capital.
Broker claims he had an agreement to get half of his book of business back if he returned to work.
Legislation would eliminate itemized deduction for investment advice fees, give income tax breaks depending how a business is structured, and allow for continued stock-sale flexibility.
The latest version of the Tax Cuts and Jobs Act has many changes from current law that would affect advisers and clients.
Be sure to have a solid, informed case for your viewpoint on bitcoin.
Leslie Koonce denied he took part in private securities transactions.
SEC, Finra targeting high-fee share classes, 12b-1 fees and failure to give sales load discounts and waivers to investors.
Taxpayers will be able to deduct state income taxes or state sales taxes in addition to property levies — up to a $10,000 cap.
Self-regulator was investigating Brian Travers' outside business and private securities transactions.
The so-called FIFO provision could also lead to yet-unrealized planning opportunities for advisers.
Pass-through provisions are target of groups representing employee-model brokerage firms, as well as retirement plan advisers.
Regulator was investigating JoeAnn Walker's sales of variable annuities.
