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The pair was drawn to the firm’s “similarly aligned” culture.

It is not the fiduciary rule or whether robo technology is friend or foe.

The rep used his own money to pay the customer the interest she expected on a brokered certificate of deposit.

As a result of the violations, the firm created deficits in foreign and domestic securities valued at hundreds of millions of dollars, FINRA alleged.

It paid in 2017 to be a penny-pinching retiree because target-date funds dominate the cross-section of profitable and cheap.

The impact of commoditization, fee compression and consolidation on RIAs in 2018 cannot be understated.

Large wealth managers and banks will spend more on blockchain and AI in the coming year, and appear willing to explore new technology partnerships.

Clients should refrain from cosigning their child's student loan, as Social Security could garnish their retirement benefits if the child defaults on the loan payments.

Client data should be walled off behind sufficient protections.

What the next generation of tech innovation means for planners.

Alan J. Foxman looks into his crystal ball and predicts authorities will focus on these key areas.

Caleb Fackrell repeatedly called his behavior “insane” in his testimony, according to transcripts obtained by Financial Planning.

Many millennials find it difficult to think beyond their student debt, which averages $32,731 with an average monthly payment of $393, according to the Federal Reserve.

Financial planners report wide demand to learn how to exploit changes in the tax code.

Kestra Financial’s James Poer offers advisors his three predictions for the new year.

Don’t be afraid to fuse this technology with the human side of the practice.

Collaboration and acquisition between incumbents and start-ups is poised to increase.

Brian Lamb succeeds Mike Michael who was named to the post in May.

As technology reshapes the financial world, conditions should improve in wealth management.

The deal marks the largest acquisition for the firm year to date.