Investment firm seeks to block action as Dodd-Frank ripple effect seen giving SEC the edge.
Advisers who use both companies' software will gain automatic data synchronization across the two platforms.
An increasing number of companies want to identify — and whisk away — investors' excess cash.
Several business schools have tried and failed to sustain an MBA program tailored to current and former athletes. Has one university finally gotten it right?
Adviser Dan Moisand says superior service garners the most referrals from clients and other professionals.
The combative robo-adviser takes a shot at competitors for their fee structures.
The Horizon Group, a retirement planning firm formerly with Cadaret Grant, joins in Rochester, N.Y.
Citing 'widespread supervisory failures,' Finra says the firm failed to properly supervise sales of complex products, including certain ETFs, variable annuities and non-traded REITs.
Websites exist for gathering documents and preserving key information, sparking adviser-client conversations about planning for the inevitable.
Make sure clients set aside the right amount to optimize savings and avoid unnecessary taxes and penalties.
Survey finds that for all their determination, millennials are willing to take direction from experts.
In exchange for cooperating in SEC's ongoing case involving a former Morgan Stanley broker and a former law clerk, middleman Frank Tamayo will pay $1 million in ill-gotten gains, regulator says.
The regulator is fighting a decision by its administrative judge to dismiss charges accusing two financial advisers of <a href="http://www.investmentnews.com/article/20140902/FREE/140909990/sec-charges-investment-adviser-with-fraud-for-not-telling-clients-of" target="_blank">not informing clients</a> they were paid by Fidelity Investments to sell certain mutual funds.
Accountability, exams and disclosures on the agenda of candidate for SRO's midsize-firm board seat.
Dwayne "The Rock" Johnson plays a retired football player turned money manager trying to win professional athletes as clients.
A so-called summary prospectus would provide information about the risks, costs and benefits of the complicated products in a streamlined manner.
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>
Digital investment platforms with human advisers bring in account balances 10 times higher on average than regular robo-advisers.
In order to attract better clients, advisers must first know and understand themselves.
A 68-year-old widower claims wirehouse did insufficient due diligence on the troubled money manager.
