Practice

Verify every candidate’s claims about the quality and quantity of their clients.

Verify every candidate’s claims about the quality and quantity of their clients.

The firm won a rejection of her $1 million claim, promissory note damages, legal fees and interest.

In bond and stock markets, managers had been shorting volatility to generate additional yield, such as by selling out-of-the-money put and call options.

To grow, the firm is pivoting from its focus on training new brokers to poaching talent from rivals.

There is no guarantee that TDFs generate the needed returns, and these funds may have hidden multiple fees, an expert explains.

The firm previously told some customers they would be transferred from their advisers to a self-managed system, but then backtracked and said it's holding off on the changes.

The regulator now has punished just one known person associated with the bank's admitted nationwide fiduciary violation: the RIA who flagged abuses.

Forget mass mailings; instead, try the personal touch.

Forget mass mailings; instead, try the personal touch.