Organization Root Tag

The new recruit is focused on serving the Brazilian market, according to the firm.

The firm was also ordered to pay $62,807 in restitution to affected customers, plus interest.

Sales are 17% ahead of last year’s record pace.

Only four non-U.S. funds offer both a dividend focus and an expense ratio under 0.35%.

The broker slashed her payment by pressing for funds she said the firm promised but never paid.

The SEC decision ended a months-long rally that pushed the virtual money’s value higher than gold.

Morgan's latest hires oversaw about $575 million, On Wall Street learns exclusively.

The growing independent firm has recruited five ex-wirehouse planners since the start of the year.

Polishing your public voice helps build credibility with clients and could lead to referrals. But it has to be done correctly.

Mike Papedis oversaw RIA acquisitions, an increasingly important revenue source for the company.

Stocks and Puerto Rican bonds are the focus of many cases among clients, advisers and firms.

Andy Sieg, head of the firm, had previously indicated that he was open to rethinking aspects of the firm's efforts to comply with the regulation.

The two firms will offer a “seamless and efficient” solution between compensation and retirement fund allocations.

The five-time San Antonio Spurs champion is willing to testify against his former longtime planner, according to the team's lawyer.

The last time the pool was smaller was in 2012, when it decided to cut large parts of the investment bank and was fined for trying to rig global interest rates.

Once the fiduciary rule was explained to customers, many became concerned about previous financial advice, with 29% considering switching to a new institution.

The investment services unit of one regional bank is working with 10 of its top producers to whittle their books of business.

Bank and bank advisers need to improve at the tangibles (financial plans) and intangibles (corporate culture) in the future.

The firm is one of the first to issue a formal comment letter on the Department of Labor's proposal to put off the regulation's implementation date.

Tax columnists George Jones and Mark Luscombe of Wolters Kluwer put together a list of important changes from this year that will carry over into the next.