The DOL and SEC are Issuing a Joint Fiduciary Rule
In what we think might be the worst case scenario for the industry, it is looking like the DOL and SEC are in a full scale partnership to regulate ...
Recent
Fidelity Execs: The Time For RIAs To Sell Is Now
Many Fidelity executives said that RIA firms should consider the option of selling their firms, Evan Simonoff writes on F-A Mag.
Cetera Advances the Advice-Centric Experience Advisory Platform
Cetera Financial has announced a new program in its My Advice Architect technology platform.
What Happens When Banks Smear Their Exiting Brokers
Dale Cebert was managing over $400 million for Morgan Stanley Smith Barney when the bank fired him.
DOL, SEC Set Targets for Fiduciary, Advice Rulemaking
The federal government’s updated unified regulatory agenda has shed light on the status of the...
LPL Welcomes Premier Investments of Iowa
LPL Financial announced that Premier Investments of Iowa, Inc. has joined LPL's broker-dealer and corporate RIA platforms. Premier Investments of ...
Dawn Bennett Found Guilty of $20M Ponzi Scheme
A Maryland woman was convicted of several counts of fraud connected to a Ponzi scheme in which the government says she scammed $20M...
