Uptick in adviser crackdown attributed to better data analytics and agency's new unit focused on asset management. <b><i>(Related read: <a href="//www.investmentnews.com/article/20161005/FREE/161009968/supersized-fines-put-finra-on-pace-for-record-year"" target=""_blank"" rel="noopener noreferrer">'Supersized' fines put Finra on pace for record year</a>)</b></i>
Revenue tied to alternative investments such as nontraded REITs plunged 72% year-over-year.
Firm purchases Wheelhouse Analytics as tool to glean more insight into client portfolios and benchmark accounts against peers.
Providers such as MassMutual and Mercer have recently unveiled new services, part of a trend seeking to capitalize on disruption caused by the DOL fiduciary rule.
Join the conversation with IN's senior Washington reporter, Mark Schoeff Jr., and your adviser peers on Twitter during the presidential debate at 9 p.m. ET Sunday using <b>#INDebate16</b>. <b><i>(More: <a href="http://www.investmentnews.com/article/20160925/FREE/160929970/hillary-clinton-vs-donald-trump-who-are-you-voting-against" target="_blank">Advisers sound off about who, Hillary Clinton or Donald Trump, they are voting </i>against<i></a>)</b></i>
Move could pressure other wirehouses to follow suit and lead to adviser attrition. <b>Plus, <a href="http://www.investmentnews.com/section/fiduciary-focus" target="_blank">Find answers to all of the most frequently asked questions on DOL fiduciary rule</a>.</b>
New CEO likely to get an earful as he embarks on a 'listening tour.'
The wirehouse is the first major firm to announce concrete plans for compliance with the Labor Department regulation.
Southeastern firms likely will get to test those enhanced continuity plans the SEC is pushing.
Charges centered around making misrepresentations in private placements.
Complaint naming Jackie Wadsworth, CEO of IMS Securities, centers around sale of VAs and real estate securities.
Employees reclassified clients' custodied assets as managed assets to meet sales targets.
Mark Tauzin was suspended for eight months from any Finra-registered broker-dealer, fined $20,000 and required to pay $205,000 plus interest to 14 sets of clients.
Florida advisers who claimed the certifying body unfairly punished them for their compensation description lost another round Tuesday.
Lawsuit argues plan wasn't diversified. Case doesn't fit prevailing litigation theme of targeting multibillion-dollar retirement plans for excessive fees.
Firm agreed to a settlement that includes a $125,000 fine and $102,632 in restitution.
Industry trade group, as well as some mutual fund giants, push back against Financial Stability Board's proposal for stress tests.
The firm allegedly conducted an unethical, high-pressure, sales contest among its advisers to encourage clients to borrow money against their brokerage accounts. <b>Plus: <a href="//www.investmentnews.com/article/20160819/FREE/160819909/morgan-stanley-hit-with-150-million-401-k-lawsuit-for-self-dealing"" target=""_blank"" rel="noopener noreferrer">Morgan Stanley is being sued over its 401(k) plan</a>.</b>
Plus: Claims of a better robo platform, a bright spot in a dim economic recovery, and health insurance won't be less expensive this year or next
