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Even though many of its members weren’t satisfied by the SEC’s rule, NASAA praises the inclusion of a requirement to consider costs in a recommendation.September 9
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The discount brokerage says the advisor’s primary duties after his notice of resignation were to “make himself available” to help transition his clients to other brokers.September 4
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The document further complicates an ongoing lawsuit that has already led to lost revenues at the leading turn-key asset management platform.September 3
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Claims and counterclaims fly as arbitration panel orders an advisor to repay $1.66 million in promissory notes, but that's not the last word in this nearly five-year long dispute.August 29
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John VanEngelenhoven, who had worked at Schwab for 14 years, custodies with rival TD Ameritrade at the new firm.August 23
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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.August 22
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Advisor Andy Saeger reportedly reached out to two clients via email and a LinkedIn message.August 16
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The then 61-year-old employee says she got written warnings for infractions while younger colleagues went undisciplined.August 14
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The firm's most recent lawsuit over alleged non-solicitation violations centered on an advisor's thank-you cards to clients.August 8
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An RIA owner accused the custodian of aiding his chief compliance in setting up a competing firm.August 7
