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A federal judge issued a restraining order and a temporary asset freeze against the former broker.

Caitlin Bronson is a content writer with PeopleKeep Inc., an employee benefits provider for small businesses.

Commission-based investors want to keep their accounts, regardless of the fiduciary rule.

The outflows are another indication of the hedge fund industry’s declining popularity after years of underperformance.

"People like you ought to be held to a higher standard because you know better," a judge tells former adviser Charles Banks.

Postponement serves no purpose, because honest consideration will not change the regulation.

Christine Lazaro is a professor of clinical legal education and the director of the Securities Arbitration Clinic at St. John’s University School of Law. She is also a past president of PIABA.

Benjamin P. Edwards is an assistant professor at Barry University's Andreas School of Law. He will become an associate professor at the University of Nevada at Las Vegas's William S. Boyd School of Law in May.

Timothy Hayden, Regional Vice President for Corporate Synergies, is a healthcare executive with more than 25 years of experience in all phases of the employee benefits industry. He has earned an industry-wide reputation as a creative developer of benefits solutions. He has overall management responsibility for a team of benefits professionals serving Maryland, Washington, D.C., and Virginia.

Multi-asset funds offer something that isn't easy to automate.