Practice

It looks like Nationwide Mutual Insurance Company will have its day in court come January 2014 to defend itself against a mutual fund lawsuit.

A Philadelphia district court handed down a $100,000 fine and six-month prison sentence for allegedly unlawful trades.

When wirehouse brokers consider shifting to independence, they need to weigh a lot of factors and ask a lot of questions. John Stuart and Mag Black-Scott of Beverly Hills Wealth Management provide 11 questions that should be top of mind before making the move.

Keeping track of your firm’s marketing metrics allow you to work smarter - not harder.

If federal regulators move ahead with a plan to impose a uniform fiduciary standard of care on investment advisors and broker-dealers, financial professionals anticipate that the cost of doing business will increase, with a result of higher client fees and more limited services, according to a new survey.

Nearly 70% of Millennials have no retirement plan, according to a new survey.

Sen. Pat Roberts, R-Kan., and Rep. Tom Price, R-Ga., have introduced legislation in the Senate and the House to block foreign governments from collecting taxes on securities transactions.

Investors yanked $28.54 billion from long-term mutual funds were $28.54 billion for the week ended Wednesday, June 26, according to the Investment Company Institute.

Independence is more than just a transition; it’s a transformation, an opportunity to own what you’ve created and a legacy you can pass on. Shirl Penney of Dynasty Financial offers his roadmap to RIAs and breakaway brokers.

A NAPFA membership rule change has provoked criticism for the way the decision was reached and communicated.