FINRA slapped the firm, valued at $7.6 billion as recently as July, with a $1.25 million fine for failing to meet the requirements of the regulator's Best Execution rule.
The CFP Board said it would increase the frequency of how often it checks advisors for regulatory infractions, following revelations it failed to note the marks on public facing sites touting the credentials of thousands.
Understand it’s not personal and work to educate clients in small doses.
Derek Notman describes his journey from a high-volume bricks-and-mortar office-based practice to an entirely virtual one.
Sylvia Guinan and Robert Harty, both CDFAs, provide wealth planning in a growth area, divorcees over 40.
Risk metrics and new regulations will go hand-in-hand in the coming years.
After 37 years, the Securities and Exchange Commission moves forward with a plan to change the accredited investor definition.
California-based advisor Steve Melen was diagnosed with cancer more than a decade ago—and then the real troubles began.
