Martin Kirschner fails to take part in hearing looking into case.
Letter cites proposal's 'weak and incomplete' economic analysis.
The board is trying to attract a more diverse clientele to CFPs
A decade after the custody rule was updated, custody status remains a riddle.
A lack of effort to find common ground is holding us back, which is why we must hold the president and lawmakers to their promises to change.
The overconcentration of securities was not suitable for some clients, Virginia alleged.
Financial advisers bear bad news related to the state and local tax deduction that could surprise clients.
James Paquette was sentenced last month to 10 years in jail.
New legislation would require financial professionals to act 'without regard to' their own financial gains.
RESA measure would help small businesses offer 401(k) plans, ease use of annuities.
Some say he should take credit for the economy, others want him to reach across the aisle on taxes and health care.
Executive said agency will check on systems and processes firms have in place, and gather information about how rules can be improved.
Complex case involved suicide, excessive trading and unauthorized transfers.
Quest Capital was held responsible for non-client losses.
Regulator gives firms until April 1 to report themselves, avoid fines; restitution still required
The lottery winner, James Groves, was awarded $3.3 million, and Asante Samuel, who retired in 2013 after an 11-year career with the New England Patriots, Philadelphia Eagles and Atlanta Falcons, will receive $879,000.
The settlement with 50 states and the District of Columbia announced Friday resolves state investigations into Wells Fargo's practices from 2002 to 2017.
Key news for the wealth management industry included the Edelman-Financial Engines merger, the Focus Financial IPO and the seller's market in RIAs
This is the eighth action against a bank or broker, and fourth action against a depositary bank, resulting from the SEC's ongoing investigation into abusive ADR pre-release practices.
Finra's findings were largely surrounding legacy Morgan Stanley Smith Barney systems, staffing and processes relating to the surveillance of wire transfers, and the deposit and sale of low priced securities.
