Practice

After an investigation into the self-disclosure of regulatory incidents, the board is looking to strengthen the review process and clear up public confusion.

Elias Herbert Hafen, “every client’s worst nightmare,” could face years in jail. The wirehouse says it is repaying clients.

The firm’s new additions include three brokers previously affiliated with Wells Fargo Advisors.

Even though many of its members weren’t satisfied by the SEC’s rule, NASAA praises the inclusion of a requirement to consider costs in a recommendation.

It’s the latest victory for brokers fighting to reclaim pay withheld by a former employer.

Those leaving the workforce before 65 need more cost-effective places to live.

Sounds simple in theory, but when it comes to naming an RIA there are plenty of options to consider.

Following a plea agreement, Bradley Mascho is sentenced for his role in defrauding investors of more than $20 million.

The agency's goal of trying to recover client losses allows advisors accused of fraud to decide who'll manage their clients’ remaining assets.

Underestimating their needs, many make decisions that are suboptimal or worse.