Practice

Violating this FINRA rule has extremely serious consequences including termination and disciplinary action.

The bank recently disclosed in an Aug. 3 filing that it faces a U.S. inquiry into its purchase of low-income housing credits.

Divorced women are more financially prepared for retirement than their single, never-married counterparts because they are more likely to secure their marital home after the separation.

The bank disclosed earlier this month that it faces a U.S. inquiry into its purchase of low-income housing credits.

Were 300% deals ever sustainable? What can advisors do today? And if you think it’s too late to break away, listen to the story of a 70-year old advisor who made the move. Mindy Diamond offers her insight as we continue the dialogue from our Recruiters Roundtable.

Tightening regulations and digital innovations are among the most important issues facing distribution channels, executives say.

Part of the problem stems from how slow regulators have been to define their views of virtual currencies.

Although volatile markets mean opportunities for some investors, most clients will be better off ignoring market corrections if they are investing for the long term.

The advisor used about $410,000 to pay back investors in Ponzi-like fashion to keep the scheme alive, the regulator says.

The regional BD continues its recruiting spree, adding to the more than 400 advisors it’s already hired in the past year.