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"Direct-to-consumer is not our model," says Scott Curtis, president, Raymond James Financial Services.

Paul Lavery is the senior director of product marketing at Cleo.

The new rules aren't the bonanza for lawyers first imagined from the DoL's fiduciary efforts.

Seeing "great bargains," advisors have been upping client allocations to equities.

FINRA scolded the firms for alleged operational systems, supervisory and recordkeeping deficiencies.

Bob Dannhauser is head of capital markets policy at CFA Institute.