New owners plan more growth for the software service provider.
Top regulator says the relationship model is different with a broker or investment adviser, but both must put clients' interests ahead of their own.
As a wave of mergers hits the asset management industry, some analysts question whether the firm should make an acquisition
Transactions pose inherent risks to policyholders, such as the buyer having a weak credit rating or increasing contract fees.
The chairman and CEO wants to set a better example for his colleagues by not always being the first one in the office and the last to leave.
Thomas W. Lee claimed Barclays shortchanged him after he guided sale of advisory unit to Stifel Financial Corp.
Becoming an outsourced chief retirement officer could help combat fee compression.
However, it likely won't bar employees from filing 401(k) lawsuits against their employers.
Director Brett Redfearn clarifies how the SEC defines 'best interest' and how it will determine whether a broker is in compliance.
Endeavor Wealth Advisory Group is based in Rochester, N.Y.
The three-judge panel split again, 2-1, in deciding not to take another look at the motion to intervene by California, New York and Oregon.
But one year of higher health care costs may be worth it to lower RMDs and taxes in the future.
Wirehouse creates two new training programs and brings in a firm to help it find ethnically diverse candidates.
Variable annuity sales were down again, however.
As #MeToo movement rages, big investors are taking deeper look at who handles their money.
Even physical demand has been slowing.
It helps advisory firms recruit, but employees soon realize it's really not practical to take much more time off than the average worker. ​ 
Finra says broker Francis Mitchell and Coastal Equities owe each other money.
NASAA announces series of investigations, enforcement actions in U.S. and Canada targeting shady initial coin offerings and cryptocurrency products.
CEO Robert Cook says one area for examination could be the proposed requirement that brokers act in the best interests of their clients.
