Organization Root Tag

Dupree Financial Group was censured for shortfalls that firm's founder insists were not indicative of a lax compliance culture.

The firm's move comes after BlackRock intensified the price war in the industry by reducing expenses on 15 of its funds.

Open enrollment offers seniors the opportunity to change their plans and save hundreds of dollars.

The wirehouse, which is embracing the new regulation, is the first to unveil its strategy in depth.

Firms should consider focusing on nuts-and-bolts issues like marketing and suitability of products if they want to avoid being the subject of FINRA disciplinary actions.

The new recruits join from RBC and Wells Fargo Advisors.

The long-serving executive will step down Jan. 1.

Wide adoption by global money managers and ETFs could set off a new wave of buying, according to Morningstar.

The main objection seems that regulators just don't like the unseemly business of selling products to customers who might not want them.

Employees inflated new client assets managed from the fourth quarter of 2011 to 2012 to meet sales targets, according to the regulator.

Life insurance will become more attractive to sell in the post-fiduciary world because it is one of the few products not encumbered by the regulation.

Reuben Rashty will lead Mirador Family Wealth Advisors. He succeeds Glen Johnson, who will transition to a new leadership role.

Founded by former wirehouse advisers, XML Financial is the seventh firm to join the IPO-bound RIA aggregator this year.

The long-running battle by two CFPs against the board comes to an abrupt end.

Keith Rowling rejoined this elite group for a second year in a row.

The funds have had the fastest growth since 2012, with nearly $100 billion of inflows, helped by record emerging-market investments.

See which independent broker-dealers are beating their larger competitors in attracting new client assets.

After being jilted by the nation’s largest IBD, the organization breaks new ground with membership additions.