The broker, Pedro L. Gonzalez-Seijo, was charged last summer with fraud.
SEC and Finra provide information on how securities rules apply to some of the complicated compliance issues posed by digital tokens.
Finra's recent guidance on firms' communications with clients of transitioning advisers recognizes the importance of choice and continuity of service for clients.
Tax-free health savings accounts, Roth IRAs, insurance and annuities can help cover retirees' future health-care costs.
But clients may be underestimating the possibility of longer lifespans when they're planning for retirement.
Lower Social Security income is not just a possibility.
When it comes to investing and planning, more millennial women cede control to their husbands than women of previous generations.
QP Wealth Management specializes in serving wealthy clients and alternative investments.
Spreading ownership across the advisory firm keeps employees happy and engaged while offering a clean exit for the owners.
Assemblyman Jeffrey Dinowitz says measure will be 'stronger' than previous disclosure bill.
TD Ameritrade Institutional survey predicts continuation of trend toward independence
CFP Board CEO Keller touts standard but indicates possible delay in its enforcement.
Broker's trading generated $650,000 in commissions while clients suffered steep losses.
Current rules punish all the employers in a multiple employer plan for a mistake made by just one
A $20,000 Roth conversion turns into a $2 million tax disaster, demonstrating why clients need advisers for critical IRA moves.
Deal for John D. Dovich & Associates in Cincinnati adds $600 million in AUM.
LPL broker Lance Browning alleges the insurer acted unlawfully last year when it terminated certain trail commissions.
Kristofor Behn and his firm, Fieldstone Financial Management, charged with fraud.
Announcement comes three years after bank offloaded its private client services unit to Raymond James.
Big firms creating business models that kinda, sorta, look like an RIA for advisers.
