Economy

The penalty is the largest ever imposed by the Consumer Financial Protection Bureau.

The public has a right to review the board’s documents, husband-and-wife planners Jeffrey and Kimberly Camarda say.

Decision expected in appeal of case brought by advisers the board says called themselves fee-only inappropriately.

These independent broker-dealers generated the most revenue from commission-based accounts.

"The uncertainty is often more stressful than the reality" when it comes to planning for a change in administration.

"Given all of the turmoil there, you need to have some consistency in leadership and [Roth] was it," one expert says.

Competing in his first triathlon helped John Pierce discover the direction he needed to succeed in wealth management.

Three advisers joined the firm's Advisor Select channel, where they are employees but can make additional business-decisions for their practice.

The firm's newest recruits come from boutique brokerage J.P. Morgan.

How Todd Sacks joined an elite ranking of wealth management supervisors.

The firm's newest recruits generated $3.6 million in annual revenue.

Small-business owners can win when advisers use a stacked-pension approach to 401(k) planning.

Is Roth on his way out?

Planners who are agile enough can easily decide on what's best for them: switching to wirehouses, other large brokerages or going independent. Also, moving quickly may help them land the best deals, says a recruiting consultant.

See which independent broker-dealer boasts a compliance staff of more than 500, and which top firms have fewer than 100.

These investment advisories paid the price for passing along performance data faked by a third-party manager.

To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.

The group includes two recruits who began their careers in the late 1970s.

The recruit joined a practice opened by a former complex director from the same wirehouse.

Edward Wedbush allegedly failed to supervise mandated regulatory filings.