Regulation

The marketplace may be the ultimate arbiter of the regulation, say MarketCounsel conference experts.

Arbitrators also rejected the former adviser's counterclaims for $51 million in damages.

An arbitration panel ordered the wirehouse to settle the latest dispute stemming from client investment losses tied to the island commonwealth's massive debt crisis.

Anticipation of auto enrollment features is expected to change the way advisers serve their clients.

President Dan Arnold will be tasked with managing the rollout of new digital technologies and implementing the fiduciary rule.

The problem began when a hyperlink was missing from where clients were accustomed to reviewing their transactions online.

President-elect Trump will likely to be "bond unfriendly" because his proposals will drive up yields by increasing national debt and stoking inflation, Gundlach predicts.

The firm’s review process is called "paper-thin" after an adviser is charged with selling retirees unsuitable variable annuities and fabricating client information.

"An investor should move to cash and cash alternatives," he advised.

The new leadership approach differs from almost all of the bank's biggest competitors.