Industry

A barred broker told clients the lifestyle media company was about to be acquired, so “they needed to act quickly,” according to the regulator.

The suggestion comes amid opposition from brokerage firms to an expanded fiduciary obligation.

With their pro bono efforts, advisors have helped clients manage thousands in debt, plan for future health care costs and even offered healthy recipes.

These firms scored big with advisors managing $1 billion or more.

Clients won't be taxed as the result of a deal if they hold the shares in ETFs or index mutual funds.

Simple solutions may be a better alternative to customization, says the company's CEO.

Most clients don’t give a hoot about fiduciary and best interest standards.

Guiding them through the fine print of narrow networks, deductibles and copays could become a key differentiator.

The network connects advisors with clients whose financial needs have been overlooked, says the firm's CEO.

Summit Brokerage Services wasn’t feeding the notifications into the transactions blotter while its ownership went into flux, according to the regulator.