by
Evan Simonoff
Meanwhile, Mariner's CEO sees advisors missing a huge opportunity.
by
Evan Simonoff
The advisory business at this moment in time is in the midst of structural and generational change.
by
Tracey Longo
The SEC said the firm's revenue-sharing agreement made mutual funds more costly to clients.
by FA Staff
JJ Marus and Lauren Norris operate Vincita Investment Partners in Greensboro, N.C.
by
Christopher C. Williams
The firm is seeking a temporary restraining order against a former rep at its Newport News, Va., office.
by
Tracey Longo
CFP Board General Counsel Leo Rydzewski also feels the DOL fiduciary rule can withstand a court challenge.
by FA Staff
The Pahnke Group includes 36-year veteran Glenn Pahnke.
by
Paul R. Samuelson
Guaranteed income products hold a rightful place in many clients' retirement plans.
by
Jacqueline Sergeant
Christopher Turean used his client's money to gamble on sports and pay off a home equity loan.
by
Tracey Longo
One securities attorney said to expect more client complaints based on Reg BI standards.
by
Tracey Longo
The rule is needed to protect retirement savers from conflicted advice, Democratic lawmakers said.
by
Karen DeMasters
The firm and its advisor subsidiary kept clients in short-term products for too long, Finra said.
by
Jack Sharry
Advisors can earn the business of other advisors' clients by helping them transition into retirement.
by
Eric Rasmussen
A Finra panel found these ex-advisors' deferred compensation was protected by ERISA.
by FA Staff
The six-member team had been with First Republic before its acquisition by JPMorgan last year.
by
Christopher C. Williams
Hightower says Lars Knudsen was violating his post-sale agreements and creating a hostile work environment.
by
Jennifer Lea Reed
Three brokers who worked for the company in Abington, Pa., shared the Finra award.
by
Tracey Longo
The agency is getting more strict about what it considers an investment recommendation, attorney Fred Reish says.
