The agency may have fixed a big tax problem for RIAs, but issues remain with many fee-based products.
Large funds from Ashmore and Fidelity also suffered.
Highlander Financial Group, based in Rockville, Md., is led by a former pro baseball player.
Regent Wealth Management Group serves approximately 110 high-net-worth households
The broker-dealer network is adding both new and experienced advisers
Regulator says New York B-D's compliance associate had no training to perform duties.
Congress must do everything we can to encourage Americans to save for retirement with their own dollars.
Hiding fees leads to a lack of trust among plan sponsors.
Regulator delayed verdict on two applications until October.
Mercer Global Advisors sues adviser who jumped to a competitor.
Losing money in a bull market is 'red meat' for arbitrators.
Newday offers low-barrier access to portfolios built around United Nations' sustainability goals.
Commission says Richard Duncan persuaded two clients to invest $300,000 in a scam.
If the legislation passes, advisers would have more opportunities to offer lifetime income options to plan sponsors and participants.
Investors allege that brokers used lump sum retirement payouts to buy high-commission products
The issue of marketing non-retirement-plan services by record keepers has cropped up in multiple recent lawsuits.
Acquisition focuses on George K. Baum & Company's muni business.
Advisers need to monitor the political landscape and develop backup plans.
United Capital CEO outlines the three factors that drove the transaction.
Plaintiffs claim the Northern Trust funds led to a 'swift and devastating blow' to participants' retirement savings.
