Finra examiners should adhere to a code of conduct when reviewing member firms, Stephen Kohn, a candidate for the SRO's small-firm board seat, asserts. <b><i>(Don't miss: <a href="//www.investmentnews.com/article/20150707/BLOG09/150709942/three-reform-initiatives-that-finra-should-embrace"" target=""_blank"" rel="noopener noreferrer">How to make Finra work: Kovack</a>)</i></b>
Benefits of filing after a key anniversary may be worth the wait.
Digital investment platforms with human advisers bring in account balances 10 times higher on average than regular robo-advisers.
A 68-year-old widower claims wirehouse did insufficient due diligence on the troubled money manager.
Diametrically opposed firms find common ground on importance of manager selection, differ on value of hedge funds.
DOL should craft an exemption for when a fiduciary retirement plan adviser is called on to assist with a rollover decision
Results of the latest Bank of America Merrill Lynch fund managers survey.
Advisers should communicate proactively with clients to ease their fears and solidify the bond.
Three contenders had to work way onto ballot, want reform in exams and arbitration
<i>Breakfast with Benjamin</i>: The nation's biggest banks, like JPMorgan Chase, are lumping their broker-dealer units in with other 'non-essential' operations.
Your exposure to stocks may have crept up over the years &mdash; separating your money into different buckets can help mitigate stress from volatility.
You may think they're as bullish as you are, but below the bravado, they may be nervous.
<i>Breakfast with Benjamin</i>: Which group is more nervous about the state of the markets? Advisers often misread their own tolerance for risk.
Crux of the platform is to enable advisers to bolster client relationships while on the go.
Not having access to the market has been protecting mutual-fund investors from fast declines.
Fifteen Barclays advisers have joined Merrill Lynch in the wake of news that Stifel Financial had agreed to buy their unit.
Women often need to get up to speed on finances in a fire-drill fashion and make some very critical decisions following widowhood or divorce.
Thomas M. Rampulla's return to the U.S. comes after the firm recast itself as a patron of an industry that once saw it as a threat.
It may be easy, and perhaps unintentional, but advisers' assumptions about a client's risk tolerance can lead to undesirable, maybe even lasting, results.
Ex-spouse can claim independently and is not subject to family maximum limit.
