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Enhanced programs will likely include financial planners. The initiative follows earlier legislation prompted by a Financial Planning investigation.
New rules would bog down independent advisors in 'busywork' without producing enforcement gains, Brian Hamburger argues.
Three bank breakaways join two former colleagues who started the independent firm Standard Investment Advisors last year.
Tax advice focuses on reducing adjusted gross income, accelerating and decelerating income and other strategies.
Planners learn strategies for guiding soldiers and veterans on unique financial challenges.
The aggregator says a total of 55 firms have signed contingency agreements with its partner firms.
M&A deals pit rapacious firm founders against undervalued junior associates, reducing planners to "idiots" and "pubescent teenagers," new report says.
After several annual losses and FINRA fines, call center magnate John Sykes to sell JHS Capital to the country's second-largest IBD.
After selling Cetera for a rich $1.15 billion, Donald Marron's Lightyear Capital picks up a $4.7 billion hybrid RIA.
Buckingham, one of the largest firms in the Focus network, adds its eighth location with the New Jersey firm.
Lee D. Weiss of Family Endowment Partners put millions of client money into a quasi-Ponzi scheme, lawyer says.
There's a lot advisors can do -- and a lot they aren't doing -- to better serve vulnerable elders, according to a new report released jointly by SEC and FINRA.
The rollup's focus on "financial life management" and strong technology offering played roles in the deal, says United Capital Senior VP Matt Brinker.
Texas veteran Leroy Brown Jr. lured in soldiers and veterans with outlandish affinity fraud, according to SEC complaint.
Multifamily office CEO Joe Votava cites work conflicts and family issues in his decision, while critic suggests the Camarda lawsuit is driving off leaders.
Focus begins new international push by adding Montreal firm.
With just hours remaining before the April 15 deadline, here are last-minute strategies worth considering.
New Hampshire wants LPL to pay $3.6 million in a fine, other costs and restitution, following millions LPL already has paid to FINRA and Massachusetts.
Focus Financial expand into Southeast with family-owned firm that has $600 million in AUM but no succession solution.
Outlook for the planners -- who were recruited with a promise that they would "not [be] required to sell" -- seems to depend on whether you talk to Northwestern Mutual or LearnVest.