Regulation

One of the arbitrators on the three-member panel should have been disqualified, according to the petition.

Walt Bettinger also took aim at robo advisors at the Morningstar conference.

Before agreeing to settle a client’s complaint, advisors should look for this key clause in the contract.

LIMRA predicts annuity sales could gain 5% to 10% in 2018.

The advisor was accused in a lawsuit in January of swindling a Georgia couple out of $330,000 in retirement savings.

The parade of ousted bank advisors continues, but unlike previous offenses, this time it involves far less money.

Robert Dekas claimed the firm breached its fiduciary duty by executing trades in unsuitable investments, says the regulator.

The CEO of Pershing Advisor Solutions sees an opportunity for RIAs in the potential restrictions on a term that has stoked criticism.

Critics say the SEC isn’t living up to promises made when Jay Clayton became chairman.

The broker used the funds to pay his mortgage, FINRA claimed.