Jesse Joseph Holovacko took $255,000 from client IRA claiming to buy bonds.
Also known as a postmarital agreement, it's an increasingly popular variant of the prenuptial agreements that engaged couples have been signing for decades.
Summit Equities sold 1,037 individual variable annuity contracts to its customers during the time period cited by Finra.
Alaska adviser adopts an unorthodox schedule to spend more time with his family.
A new tool lets users make an easy comparison between the cost of owning and renting a home.
Michael Jeppson goes indie in Manhattan Beach, Calif.
Synergy Capital Solutions has offices in Illinois, Florida and Michigan.
Financial services groups urge new SEC head to make uniform fiduciary standard a priority.
More than 100 House Republicans wrote a letter to the new DOL secretary, telling him there is an "urgent need' to act on the investment-advice regulation.
Walter Stamper of Chattanooga, Tenn., managed $147 million.
Sometimes it pays to wait to take a second trip down the aisle.
Democratic support could bode well for future legislative threats, as critics of the rule turn their attention to new Department of Labor secretary Alexander Acosta.
The problem lies in who gets defined as a rogue broker.
In some cases, thoughtfulness is more important than quick actions when you're looking to expand.
With domestic stock valuations high, investing overseas could finally pay off.
The proposed Financial CHOICE Act lays out a series of tough provisions the SEC would have to meet to adopt a uniform fiduciary standard.
Here's how the new administration has affected your wallet, for good and bad, and what to watch in the days to come.
Litigation over these agreements often favors the firm, but there are ways for advisers to protect their businesses.
New Fidelity survey shows more Americans plan to wait to claim benefits.
