United Capital's Joe Duran is hellbent on changing the industry.
Husband and wife balk over a disciplinary case the board raised for using the term “fee-only” to describe their compensation.
Lawsuit alleged a "deep rooted and pervasive gender discrimination" existed at Bank of America and Merrill Lynch
A recent Supreme Court decision allowing class action waivers tips the scales in favor of Charles Schwab in its scuffle with Finra over the tactic.
Pays fine, accepts suspension but B-D already closed, securities license dropped.
In a move that will shake the advice industry, Massachusetts securities cop William Galvin sent subpoenas to 15 brokerages. The request? He wants information about sales of alternatives to seniors.
The Municipal Securities Rulemaking Board last Monday asked for comments on proposed changes to its suitability rule that…
DIY investors are suffering from information overload, and that's knocked their satisfaction, the new J.D. Power rankings of discounters suggests. Check out the rankings
Working with women who've lost a spouse requires behavioral-finance acumen; 'decision-free zone'
Suddenly hit with questions about life insurance and wills; tough choices under the best of circumstances
