Organization Root Tag

Investors have an average of 25 funds to choose from in their 401(k) plans, but some financial advisors suggest that the best approach is to pick a small number of very broad funds.

While the IBD advocacy organization supports the proposal’s approach, key questions loom over the timeline and makeup of the potential regulation.

The firm is the first to be censured for violating the Identify Theft Red Flags rule.

Recruiter Michael King discusses which firms have the most brand value, and where young recruits would be wise to look to start a career. He offers his insights as we continue the dialogue from our Recruiters Roundtable.

More than half of the broker-dealer’s new hires come from Wells Fargo.

The deal to purchase the asset manager could be announced in a matter of weeks.

Women currently account for just 19% of Morgan Stanley’s managing directors.

Men dominate the largest financial institutions and the situation is even worse at family offices.

Other groups, such as those who used to itemize tax deductions but will now use the high standard deduction, are also advised to check their withholding taxes.

John Gregory Schmidt allegedly devised a 14-year scheme that straddled his time with Stifel and Wells Fargo.

Zoe Financial wants to create an elite network that brings together high-net-worth clients and thoroughly vetted RIAs, says CEO Andres Garcia-Amaya.

NAPFA’s chairman sees an “untapped market” opening up.

Family offices saw a growth in returns last year fueled by soaring stock markets and private equity.

The advisors also reject the wirehouse’s claims they violated non-solicitation agreements.

A team of four women is moving to LPL in pursuit of what they say is a less difficult, lower-fee alternative.

Bari Havlik says she needs to know when examiners’ rulings appear out of step with the actual guidelines.

Under SEC rules, an advisor was statutorily disqualified after driving under the influence. Can he ever register with a brokerage again?

Advisor Gary Hirschberg already has plans to expand his young firm.

Observers expect only modest changes from comment letters, and look ahead to a vote to enact new advisor and broker regulations.

In my view, the organization puts its own growth ahead of enforcing its certificants’ fiduciary standards. This holds us back from being seen as a true profession.