RIA Leaders: Top 20 Firms for 2015 Over the years, Financial Planning has been striving to make the annual RIA Leaders list ever more rigorous, weeding out advisory firms that take commission, have registered reps, are owned by big stakeholders. This years ranking calls out the most successful independent, fee-only players who have been able to say no to the big offers -- at least so far.
The American Institute of CPAs has written to some of the top tax lawmakers in Congress asking them to grant relief to taxpayers in appropriate situations when they miss a statutory deadline or make an error in choosing an election. more »
FINRA banned a rep for allegedly forging a customer's signature on bank withdrawal slips, a move that allowed the customer's sister to steal $3,900 from the customer's account. Two others were suspended for relatively minor infractions. more »