The rep argued that the money she received was not a loan but rather the proceeds from the sale of her tractor to the customer.

Transition packages have been changing, and so should an advisers' approach to changing firms.

So far this year, 1.2 million shares were traded daily on average on the Nasdaq Biotechnology ETF, down from 2.2 million in the same period in 2014.

The broker’s written promise of 7% returns on a variable annuity made for a simple case, the lawyer for the claimant says.

On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.

A single percentage point increase in ETF ownership has demonstrable effects on an individual stock, researchers said.

Most of the inflow came in the second half of the month after the Fed laid out an unexpectedly dovish rate-hike outlook, Russia's central bank said.

The world's central banks are beginning to plan their course through the uncharted waters of quantitative tightening.

The rep declined to provide the regulator with documents it needed to investigate allegations that she converted $13,000 for personal use.

The new offerings could boost returns to investors by 50 basis points, according to a study.

The new offerings could boost returns to investors by 50 basis points, according to a Morningstar study.

How do smaller firm avoid paying six-digit fines for administrative shortcomings?

The settlement is the third major regulatory payment the BD has incurred in the past year. A branch manager associated with the Jay Peak case has also left the firm.

Motif’s Hardip Walia discusses attitudes of investors and the inadequacies with contemporary environmental, social and corporate governance investing.

He cited an IMF report that suggests growth is impaired by slow business investment and an aging population with reduced demand for consumption.

Futures closed at the highest in six weeks after Saudi Arabia was said to likely support prolonging output reductions.

The adviser allowed her disabled sister to die of untreated bedsores, according to the D.A. It’s the first known such case involving a CFP, says the CFP Board.

The firm won a rejection of her $1 million claim, promissory note damages, legal fees and interest.

In bond and stock markets, managers had been shorting volatility to generate additional yield, such as by selling out-of-the-money put and call options.

The firm previously told some customers they would be transferred from their advisers to a self-managed system, but then backtracked and said it's holding off on the changes.