Concerns raised in comment letters include the expanse of the new rule and compliance costs
His Northbrook, Ill.-based RIA misappropriated client assets while layering on fees
Fund giant says 74% of grants went to a charity the donor had previously supported
Proposal aims to raise bar for brokers to clear their records, but a lawyer for investors says it only will fill Finra's coffers
CEO Peter Mallouk says he's building a cash reserve as a defensive play
Jon Weiss, the head of wealth and investment management, has been named CEO of corporate and investment banking
Based in Maitland, Fla., Synergy Wealth Alliance has 15 affiliated advisers
The state's new data-privacy law created a disclosure headache
Capitol Hill Democrats are set to resist the spending proposal; the SEC requests a budget bump
Schedule K-1 forms won't arrive in time for tax season for investors in GPB Automotive Portfolio, one of the company's two largest funds
Research shows repeat deal-makers have had more success in a surging M&A market
The deal provides a second Denver location for the Kansas City, Mo.-based RIA
Courts would have to sort out how federal government, states can shape advice reform
The top issues that groups targeted for Capitol Hill influence were the SECURE Act and a financial transactions tax
The insurer faces one less lawsuit over its termination of trail compensation
General Atlantic is becoming a minority owner as Creative Planning continues to expand
Schwab’s Bernie Clark says the company expects to face “fierce competition” for small advisers
Rule would restrict movement of brokers or firms’ assets if arbitration claims are pending
An appeals court found that Principal was a fiduciary to a plan that used its Principal Fixed Income Option, contrasting with a recent decision in a suit against Great-West
With the final product still awaiting regulatory approval, Legg shows unyielding support for the new ETF wrapper by increasing its stake in Precidian
