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The former Oppenheimer client was allowed to invest in a new fund started by Carter Worth, a well-respected technical analyst who the client believed “walked on water,” his lawyer claimed.
June 28
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Six fiduciary groups call on advisors press SEC to clarify the differences between advisory and brokerage business models.
June 28
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J.D. Power’s annual survey reveals the importance of leadership and culture, along with differences among male and female representatives.
June 28
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Retirees have median savings of $839,000, but many of them are unwilling to spend away their nest egg.
June 27
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Former San Diego Chargers guard Kris Dielman says the independent broker dealer failed to supervise his former advisor.
June 27
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A FINRA arbitration claim followed an asset freeze and the launch of a federal investigation into the fired advisor’s RIA.
June 27
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Volatility has returned in 2018, while easy stock gains have vanished.
June 27
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Clients are advised to keep track of their financial information and have a trusted person who knows where to locate it.
June 26
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Advisors recommended that clients sell positions in complex structured products to rack up fees, says the regulator.
June 26
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While Raymond James and Stifel are on hiring sprees, Wells Fargo is still losing talent.
June 26
