The Latest

The RIA's parent company is set to buy a very large adviser aggregator. If completed, it would be the biggest transaction of the year.

Matthew Stock is director of the Whistleblower Rewards Practice at Zuckerman Law. His practice focuses on representing whistleblowers in whistleblower-reward and whistleblower-retaliation cases. Mr. Stock is also a Certified Public Accountant, Certified Fraud Examiner, and former KPMG external auditor. As an auditor, Mr. Stock developed expertise in financial-statement analysis, internal-controls testing, and fraud recognition. At Zuckerman Law, Mr. Stock uses his auditing experience to help whistleblowers investigate complex financial frauds and disclose them to the government. Mr. Stock routinely helps whistleblowers, in whistleblower-retaliation cases brought under the Sarbanes-Oxley Act, to analyze a wide range of accounting issues, including revenue recognition, earnings management, and financial-statement fraud.

Stephen Adwell is VP of security and LAN/WAN at EPL, Inc

Dennis Shaul is an expert in consumer finance and protection.

He is the former CEO of the Community Financial Services Association of America (CFSA), the national organization representing the majority of nonbank storefront lenders. Before joining CFSA, Shaul was a longtime congressional staffer. 

Shaul also served as chief financial regulator in Ohio. In this role, he established the states' first constituency preemption law, revised the state security statute and implemented regulations that increased transparency of television personalities' fundraising.

Jason Zuckerman is principal of Zuckerman Law and litigates whistleblower-retaliation, wrongful-discharge, non-compete, and other employment-related claims. Mr. Zuckerman serves as Plaintiff Co-Chair of the Whistleblower Subcommittee of the ABA Labor and Employment Section’s Employee Rights and Responsibilities Committee. In 2012, the Secretary of Labor appointed Mr. Zuckerman to the Whistleblower Protection Advisory Committee.

The group includes a father-daughter duo who have worked together for 25 years.

The new retirement system will allow for 401(k)-type savings and provide financial education services to help military personnel make better investing decisions.

Older wirehouse advisers opting to go independent should keep these factors in mind if they want a richer exit from the business.

Full-service planning allows for a bigger impact, but a niche approach may mean more objectivity.