The B-D network produced $1.7 billion in total revenue last year.
And SEC chairman Jay Clayton tells senators his agency aims to preserve adviser, broker competition while bringing standards closer.
Some are signing off on premium increases in the 200%-300% range, one executive said.
Brokerage tax statements don't always reflect all of an investor's accounts or original costs.
Morgan Stanley terminated Michael Wu in March after he did not cooperate with the firm's investigation.
Labor secretary says his agency is collaborating with the Securities and Exchange Commission as the regulator finalizes its own Reg BI.
Upstate New York couple cites five unsuitable variable annuity, life insurance transactions.
NASAA doesn't want regulator to assert federal preemption in advice rule.
U.S. economy is doing reasonably well, but the Federal Reserve could bring about its demise when inflation eventually ramps up, Nuveen exec says.
The company will join other broker-dealers cross-selling banking products such as mortgages and home equity loans through its adviser workforce.