Broker Dealers
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What’s driving growth in the fixed indexed annuity market?
September 23, 2019
As consumers began to put more weight on preserving their retirement assets than growing them, fixed indexed annuity sales picked up.
Efforts to block Reg BI likely to lead to delay, confusion
September 21, 2019
Investors cannot wait for the lawsuits to work their way through the courts.
After trading loss, employees at Atlanta B-D are looking for work elsewhere
September 20, 2019
IFS Securities reps are talking to other firms while some managers relocate.
Michigan RIA to pay $2.5 million for mutual fund conflicts
September 20, 2019
Sigma Planning failed to disclose conflicts related to 12b-1 fees: SEC.
Morgan Stanley fined $225,000 over questionable muni bond trades
September 19, 2019
SEC: Firm was swapping bonds for clients with no alleged benefit to the customer.
Robert Moore is back. And he’s focused on REITs
September 18, 2019
Cetera's former CEO launches new fund but he won't be working full-time.
Raymond James to pay $15 million over improper charges to clients
September 17, 2019
Firm charged advisory fees on inactive accounts and excess commissions for UITs.
Finra fines J.P. Morgan $1.1 million for failing to disclose broker misconduct in timely manner
September 16, 2019
Agency says when the firm did file information, it came on average two years late.
Vanguard offers new framework for financial advice
September 16, 2019
Advisers' value to clients has three components: portfolio, financial and emotional.
Finra bars veteran broker for creating false account statements
September 12, 2019
A multiyear scheme of creating false account statements has resulted in veteran broker Clayton Wertz being permanently…
