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The brokerage ranks shrank by 258 from the year-ago period.

The commission's new risk alert focuses on fees and expenses and amplifies its focus on disclosures and compensation structures.

"If our profession truly cares about the well-being of our clients to the extent that the profession professes, then we need to swing this pendulum in the other direction," Elwyn says.

Like selling a car, asset managers can list their products’ specifications, but that isn’t always enough.

Collaboration is key to the effort since there “is no competitive advantage to be the only firm engaged in data protection."

Fraudsters call seniors and get them to provide their Social Security number or pay a "processing fee" for the new Medicare card.

Tom Thives, a 34-year industry veteran, will head up the firm’s offices in New Jersey.

The firm pulled in 11 new advisors in the first quarter of 2018, building on the 65 brokers hired last year.

Addressing the subject of mortality can be tough — but advisors can help make the conversation less painful.

Should advisors and brokers have plain-English job descriptions and be required to work in their clients’ best interest? Commissioners will vote on whether to move ahead with key proposals.