Jay Clayton assures Republican critics of DOL rule that agency's proposal would give investors the option of choosing a broker for investment advice.
Judge says barred broker was supplied false statements by boss, who had 'ultimate authority' over them.
This month's edition kicks off with the big news that Envestnet is acquiring FolioDynamix, a 'mega-deal' that will bring Envestnet's total assets to $2T.
Alabama securities director takes helm of state regulators' association for third time, and at age 64 he might still make time to ride his motorcycle.
Executive who rose up at Morgan Stanley also juggles his old job at Fidelity until a replacement is found.
Sometimes it's better to coordinate claiming strategies where one collects spousal benefits.
When it comes to retirement, new research underscores how health care, medical expenses and longevity risks are top concerns of investors.
Expectations vs. reality: What investors think – and how advisers plan – for retirement income.
The exam proposal would apply to 'low-risk' branch offices, while the public database proposal would more closely resemble the SEC's Form ADVs.
How to help clients navigate yearly changes that could affect their coverage and costs.
Sandlapper Securities used a development company that acted as a middleman to rip off investors in saltwater disposal wells, according to the regulator.
SEC obtains default judgment on reckless trading of leveraged ETFs and ETNs, theft from unsophisticated investors.
Katy Knox named president, replacing Keith Banks, who will become vice chairman of the global wealth and investment management unit.
Be glad we've got something to chew on, but don't cheer too loudly, too quickly.
A vow of silence on money issues negatively impacts our relationships and contributes to the financial literacy crisis.
High earners could take advantage of a measure meant to help business owners, straining the IRS.
Recommendations to roll over retirement-plan assets, to transfer IRAs and advice generating additional payments like 12b-1 fees are trouble areas for RIA firms.
Leonard Vincent Lombardo, who has been barred from the securities industry by Finra for about 20 years, allegedly defrauded 100 investors.
