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One of the clients who filed the claim is still trying to withdraw money from non-traded investments he says were never explained to him.

LIMRA predicts that lower interest rates will cut into the record sales, but two top issuers received IRS rulings they say will help RIAs offer the products.

The deal will accelerate the firm’s digital-heavy client strategy, CEO Andy Rachleff said.

HighTower adds a nearly $1 billion RIA to its growing roster.

Some cryptocurrency investors are receiving a new round of letters from the IRS telling them that their federal tax returns don’t match the information received from virtual currency exchanges, a new front in the agency’s burgeoning scrutiny of the industry.

Investment banks are increasingly studying the relative positioning of funds that compete with each other to beat benchmarks.

The firm added an experienced advisor from Wells Fargo after recruiting 72 other tenured reps in the second quarter.

Aside from cutting spending and contributing to a Roth account, investors are also advised to sock away at least 10% of their annual earnings.

Regulators and observers warn there are risks to mixing show business with investment advice.

The two advisors affiliated with a new IBD after one of the largest PE-backed M&A deals of the year closed.

The insurgents won seats allotted to represent small and large firms.

Angst over the Fed’s decision to lower borrowing costs has seeped into the $3.8 trillion market for municipal bonds.

Plus, the average employee contribution rate reached 8.8% in the second quarter, up a full percentage point from a decade ago.

These clients will need bigger savings than other age groups to fund a longer retirement horizon, according to a study.

CEO Jamie Price unveiled a three-part “advisor appreciation program” after Reverence Capital closed on a majority stake of the IBD network.

The Anthony Bunnell addition comes amid expansion of the firm’s its retirement plan business this year.

As the season comes to a close, check out these recommendations for advisors and clients.

The sector may be edging into dangerous territory, analysts say.

SFA Partners uses flexibility and intensive due diligence to power its niche in alternatives.

If approved, the fund would be the first in the U.S. to follow a quantitative approach that allocates across asset classes based on risk.