Practice

The decision by Carson Group’s CEO came after a two-year examination of the business revealed some changes that needed to be made.

The IBD network’s parent repurchased the majority of Dr. Phillip Frost’s shares just before the SEC filed proposed settlements of its pump-and-dump case.

When your clients say they want to invest like celebrity billionaires, point out that they already have one thing in common — some years are good, some are bad.

For example, taxpayers should not panic about the new cap on state and local tax deductions.

Jason Kirkland, a former Baird employee, has sued the firm for allegedly withholding his compensation.

There can be benefits in enrolling simultaneously, but there are also incentives to consider in waiting on Social Security, instead of claiming benefits at 65 when Medicare kicks in.

The regional brokerage isn’t slowing down its recruiting efforts.

The cost of Wells Fargo's scandals continues to rise as regulators from all 50 states forced the institution to pay hundreds of millions in penalties for the creation of fake accounts, improper enrollment in life insurance, force-placed auto insurance policies and other activities.

The clients say their advisor improperly invested their funds in a Miami Beach nightclub that failed.

A months-long court fight ended when a judge granted the wirehouse’s request to restrict the advisors’ ability to contact clients.