A broker-dealer's former chief operating officer is seeking $5 million in compensation for work he says he did for the subsidiary and for breach of contract.
A report released Monday by TowerGroup predicts FINRA audits of registered investment advisors, which in turn would mean higher compliance costs for RIA firms.
B-Ds unveil new programs to help advisors survive the recession.
Fidelity Benchmarks Technology Use Fidelity Investments is launching a Technology Benchmark Evaluator to help registered investment advisors benchmark their use and...
The turbulence sweeping the financial services industry is triggering explosive recruiting growth at LPL Financial.
Tool Combines Outlook With Planning AdviceAmerica, based in Fremont, Calif...
Raymond James Financial (RJF) has named Paul Reilly, currently executive chairman of Korn/Ferry ...
Brewer Financial Services on Wednesday said it added four Ameriprise financial advisors...
Securian Financial Group on Monday said it ...
Citigroup Inc. said Monday it will slash about 53,000 jobs in an effort to reduce costs...
The Financial Industry Regulatory Authority said today it fined Citigroup Global Markets $300,000 for not properly...
The fee-based/fee-only RIA models are the practices of choice for high-end advisors with an entrepreneurial spirit.
Compliance issues can be a challenge for someone switching from a wirehouse to an independent advisor platform.
Genworth Creates Wealth Management Division Genworth Financial Inc...
Fidelity Offers Dual Business Platform Financial planners who handle both fee and commission business will have a new platform to integrate their work...
CFP Board's New Conduct Standards The financial advisory industry is always changing, and so are efforts to govern the way it's practiced...
Many readers told me my April column was off. I'll keep trying if you keep complaining.