More than two dozen broker/dealers and RIAs agreed to pay a combined $392.75 million in penalties, including Raymond James, LPL, Edward Jones and Osaic, among others.
The Securities Industry and Financial Markets Association filed a lawsuit against the regulation that took effect last year, saying there was “no precedent for it in the securities laws.”
For years, RBC executive Shareen Luze struggled with anxiety. But the more she was vulnerable and shared her story in the workplace, the more she connected with people. Today, she brings a unique perspective on the role a sense of belonging plays...
According to the commission, Russell Todd Burkhalter, the CEO of Drive Planning, allegedly used new funds to pay existing investors’ returns and personal expenses, including yacht and private jet payments.
Perigon Wealth Management's Beth Bosworth explains why advisors should throw traditional minimums “out the window” to attract next-gen clients.
Outsourcing is a highly personal decision based on an advisor’s specific business circumstances, not general industry or market trends.
