Former Advisor Charged with Taking $4.5M From Ex-NFL Player
An FBI investigation led to the charges facing the former financial advisor to defensive tackle Cory Redding.
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Destination Unknown: The 2017 Broker-Dealer Presidents Poll
Despite the complexity and ambiguity of Labor's fiduciary rule, broker-dealer leaders remain cautiously upbeat.
Under Pressure: The 2017 Broker-Dealer Reference Guide
For the firms participating in Investment Advisor's annual Broker-Dealer Reference Guide, the competitive and convoluted atmosphere they face today can be perplexing.
Wirehouses Keep Tweaking Plans, Policies Ahead of DOL Deadline
After discussing the possibility that advisors could keep commissions in some retirement accounts, Merrill Lynch has given its roughly 14,500 advisors more details.
Fund Expenses Drop 7% in 2016; Vanguard Leads the Pack: Morningstar
The largest fund family had an asset-weighted average expense ratio of 0.11% last year, the research firm says.
Raymond James Adds 2 Teams from Wells Fargo: Recruiting Roundup
Meanwhile, HighTower brings on a breakaway group from Merrill Lynch in Florida.
BD Stocks Feel Bite as DOL Fiduciary Deadline Nears
Meanwhile, financial analysts say Trump could bring broker-dealers, insurers and asset managers relief from some aspects of the reform package.
Senior Financial Abuse Prevention Bill Gets Texas Lawmakers' OK
The Financial Services Institute says it worked with state legislators on the new rules.
Merrill to Pay Fine Over Trading, Disclosure Issues
More than 1,000 trades were not executed to get clients the best prices, and investors didn't get compensation info on thousands of trades.