Fidelity's 401(k) Millionaires Double in Number
Over two years, the number of $1 million-plus accounts jumps to more than 72,379 as a result of sustained saving efforts.
More in Clearinghouses/ Custodians
Pershing's failures "exposed customer funds and securities to risk," according to FINRA. more »
A trio of top custodial executives discussing big trends for the RIA sector downplayed the term -- at least as a marketing advantage -- during a panel this week at the MarketCounsel summit in Las Vegas. more »
The custodian giant announced Monday a redesign of its online Education Center that allows advisors to earn continuing-education credits while also boosting their own knowledge. more »
A new RIA in North Carolina formed by three recently departed wirehouse advisors has chosen to affiliate with Raymond James' custodian group. more »
In particular, the commission is looking for cases when advisors trade on behalf of clients without written disclosure and consent, or fail to process a trade on the most favorable terms for their clients, says an enforcement division co-chief. more »
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