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The agency's goal of trying to recover client losses allows advisors accused of fraud to decide who'll manage their clients’ remaining assets.

Underestimating their needs, many make decisions that are suboptimal or worse.

Barriers to adoption for RIAs include security concerns and fear of increased client anxiety.

Buyers compete fiercely for available firms even as they assert pricing is not out of hand.

The IBD trade group launched a public campaign after more than 80 cases this year alleging inadequate disclosure of mutual fund fees and compensation.

Age discrimination, unpredictable life shocks and involuntary retirement casts serious doubt on the “work longer” thesis.

Over a nine-year period, he allegedly defrauded clients of more than $2.1 million.

The deadline to apply is Sept. 27.

When pitted against the broader market, the top 20 outperformed both the Dow and S&P 500 by more than 5 percentage points.

Planners' fears of violating privacy stops them from taking action. If implemented, a new model act might help.