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In addition to winning a $25,000 award, ex-J.P. Morgan rep Mihail Naumovski was able to expunge erroneous information on his Form U5 that he violated investment-related regulations.

The $5.7 billion fund slumped 2.6% in premarket trading after finding itself in the crosshairs of tit-for-tat tariffs between the U.S. and China.

Home values grew in all 50 states in February, but their appreciation is expected to slow within the next year, according to CoreLogic.

The bank is said to have been aware of the accusations for years.

Bill Capuzzi has had a first-hand view of wealth management’s disruption. He details the key innovations winners will bring to the industry.

Ad hoc or structured approaches can both work, but results depend on the amount of effort.

Need a gut check on your career? Read what top recruiters have to say about the big and small firms in the industry.

The firm falsely claimed on his Form U5 that he deliberately changed a customer’s address from California to New Hampshire to facilitate the sale of an annuity, the broker alleged.

The firm is asking a judge to dismiss a class action suit and force a former broker into arbitration, instead.

The tax treatment of bitcoin and its ilk raises major questions.

The convertible bond ETF has its heaviest weighting in the semiconductor industry.

Homeowners have fewer options as state and local deductions have been capped under the new law.

Healthy wage growth in some locations is offsetting increasing rates and housing prices.

A former spiritual advisor to presidents George W. Bush and Barack Obama plans to turn himself in as his attorney vows innocence.

The newly independent advisors added a new team and are looking to bring on more practices.

The broker misappropriated his clients’ investment money for rent, credit card bills and other personal uses, investigators say.

Dan Arnold received a 155% raise in his first year atop the nation’s largest independent broker-dealer.

Barry Snyder’s complaint depicts him as a victim of federal investigators and the bank, with both sides threatening to turn on him.

Dean Hoover is the latest advisor to join the Raymond James-affiliated independent firm.

Planners are seeking the independence and support that they say they aren’t getting at wirehouses.