Retirees lost $140,000 after Christopher Ariola unduly concentrated them in energy, gold.
Custodian offers five portfolios with investment selected by Morningstar professionals.
Salentica client relationship management software to become part of Black Diamond platform.
Members of TD's 'Advisor Direct' program may develop new clients. <b><i>(Related read: <a href="http://www.investmentnews.com/article/20161024/FREE/161029966/ria-firms-see-record-number-of-ma-deals-in-first-nine-months-of-2016" target=”blank">RIA firms see record number of M&A deals in first nine months of 2016.</a>)</b></i>
The sale of large advisory firms with $1 billion to $5 billion is surging, says DeVoe & Co.
A China Oceanwide investment platform will pay $5.43 per share, the companies said.
Miniscule benefit hike won't protect seniors' buying power.
An adviser shares his experience starting his own firm, and the challenges of not being able to depend on a home office anymore for phones, faxes, malware and more.
It's no different than comparing stocks to bonds.
The technology company seeks to expand its responsible investing footprint with the RIA.
Investing in local communities allows investors to foment meaningful change, providing not only reliable economic returns, but personal ones as well.
With the holidays and perhaps a raise or bonus on the horizon, it's a good time to make that money work for you and your retirement.
Wealth of tools popping up to help with compliance, but will require proper adviser due diligence.
The regulator also ordered John Leo Valentine to pay $140,000 in civil money penalties
The plans in public school districts &mdash; often a "laissez-faire" type of arrangement exposing teachers to high-fee products &mdash; won't be helped by the new regulation.
Plus: The dollar spikes as the ECB stays loose, big companies supporting small companies, and health insurance companies turn a blind eye to climate change
'Dred Scott' comments by the SkyBridge Capital executive 'are so at odds with the DOL rule, law, logic and basic human decency, they demand a rebuke.'
Plus: Investors think the Fed will hike in December, here come the boring post-DOL portfolios, and now is a good time to ask for a raise
System doesn't include reasons for advisers' employment termination and other details public needs before deciding who to hire, a new report found.
Passive funds, ETFs attract fee-based advisers to fund giant. <b><i>(Related read: <a href="//www.investmentnews.com/gallery/20160906/FREE/906009999/PH/9-facts-that-make-vanguard-the-king-of-mutual-funds"" target="”blank"" rel="noopener noreferrer">9 facts that make Vanguard the king of mutual funds</a>)</b></i>
