The Latest

The first-ever case of its kind is putting other broker-dealers on notice about the regulator's enhanced abilities to identify patterns of abuse.

Insurance industry giant targets RIA market via fee-based annuities.

Punished by the plunge in the energy sector, some advisers await a rebound that can take advantage of master limited partnerships’ tax status.

JPMorgan Chase named two insiders to run a combined wealth management and investment services unit, according to company memos.

Karen Proffitt is vice president of identity enterprise solutions specializing in data integrity and patient identity/matching with Just Associates.

Julie A. Dooling is a senior consultant with Just Associates.

This group of planners can thank the Department of Labor for the new business.

Shimizu is an associate in the Irvine office of Fisher Phillips. She focuses her practice on helping employers navigate the Employee Retirement Income Security Act (ERISA) and other state and federal laws impacting the design, implementation and ongoing compliance of their employee benefit plans and programs. She advises clients with respect to all aspects of employee benefits, including retirement plans, health and other welfare benefit plans.

The wirehouse has served as a major banker for the island commonwealth, which has been defaulting on a growing share of its debt and has been placed under federal financial oversight.

The compensation loss is the biggest for a major U.S. bank chief since the 2008 financial crisis.