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The brokerage industry’s watchdog would also want to play an active role in the design of a possible SEC fiduciary regulation, Robert Cook says.

Concerns about medical expenses are sky-high, but there are solutions.

The rep purportedly stole $8,700 from an account funded with donations, according to FINRA.

Clients can end up with $1 million in retirement by saving $298 every month and maintain an investment portfolio consisting of stocks, corporate bonds and municipal bonds.

If your investment time frame has been seriously long term, these are the funds that posted the best returns over the long haul.

The former Fidelity RIA head replaces a 30-year company veteran.

The new recruit joins the regional BD from Hilliard Lyons.

Growing RIA now has over $3 billion in assets as footprint expands.

Advisers, clients and the industry are all best-served when fees are based on the value delivered, not on asset calculations.

The fee is “like a cash-printing machine for plan administrators," said one expert, and there’s very little clients can do about it.