In a vastly expanded industry landscape with more high-quality options than ever before, some advisors settle for 'good enough' when the potential for 'great' is often within reach. What’s holding them back?
The group is joining other plaintiffs in a suit filed in a Texas federal court, with CEO and President Dale Brown claiming the DOL's decision was 'hasty and arbitrary' and would be detrimental to independent financial advisors.
Knight Nguyen Investments raised at least $3.7 million from a number of advisory clients and retail investors for high-risk and fraudulent securities offerings, according to the SEC.
Legal issues related to hiring—and firing—advisors are becoming more commonplace, says RIA counselor Brian Hamburger.
