Aug. 7: The firm aims to mix innovation with old fashioned salesmanship, and is even considering a robo, according to the president of its broker-dealer.

The advisors collected $1.7 million by fraudulently pushing variable annuities, investigators say.

Class-action lawsuits inspired by the DoL regulation “may go away,” says a prominent ERISA attorney.

John helped found the coalition between the board, NAPFA and the FPA.

The rep took more than $1,500 from the bank's cash drawer over a three-month period beginning on New Year's Eve last year, FINRA claimed.

A new industry snapshot highlights record firm count and AUM, while continuing steep client growth fueled in considerable part by the rise of robos.

Investors are about to enter the worst two-month period of the year for stocks, according to an expert with Bespoke Investment Group.

The violations ranged from the improper reuse of signed customer forms to the execution of discretionary transactions without written authorization.

Many firms are finding new ways to incorporate computer models and data science into their research.

The agency says its adoption of WebEx will allow for improved outreach with clients in the more rural regions of the country.

CEO Dan Arnold said advisers’ uncertainty about the fiduciary rule is waning.

Collectively the four firms provided market access to numerous clients that executed millions of trades per day.

"This is a challenging time for the firm with the DoL rule," CEO Paul Reilly said.

The move will streamline investigations and standardize sanctions, the regulator says.

The rule has cost the firm tens of millions of dollars in compliance and lost revenue.

Make sure clients understand that a 401(k) rollover could trigger a hefty tax bill, and that liquidating assets before the age of 59 1/2 could mean a hefty penalty.

The rep claimed the firm misled him when they recruited him from PNC Bank.

The Labor Department is receiving a deluge of feedback from advisers and investors on whether to revise its controversial regulation.

The new executive will lead a team counseling advisers on how to comply with the DOL rule.

The Labor Department has indicated that further revisions to the regulation could be forthcoming.