Dodd-Frank Rollback Bill Advances in Senate
The Senate Banking Committee passed on a sharp party-line vote Thursday the Financial Regulatory Improvement Act. Democrats including Sen. Warren blasted the bill.
SEC Fines Nationwide $8M for Delaying Mailed Customer Orders
For more than 15 years, Nationwide intentionally delayed delivery of untracked mail containing orders from customers, SEC says.
FINRA Arb Panel Grants $500K to Ex-Morgan Stanley Rep
The advisor, now with FiNet, said the firm had pushed him out and tainted his reputation.
8 Ways to Build Extreme Client Loyalty
These steps, large and small, will sustain long-lasting client relationships.
Raymond James Keeps Up Social Media Push
The firm says close to two-thirds of reps are up and running on Facebook, Twitter and LinkedIn.
What Retirees Will Pay for Health Care, in 5 Charts
A couple retiring in 10 years at age 65 will spend about 90% of their lifetime Social Security benefits on health care, HealthView Services warns.
10 Best & Worst States for Low-Income Taxpayers
State and local taxes are surprisingly regressive in some states, the Institute on Taxation & Economic Policy and WalletHub report.
8 Best Financial Companies to Work For: Fortune
These financial companies that work with advisors are included in Fortune's list of the Best Companies to Work For in 2015.
SEC Charges Pacific West Capital With Life Settlement Fraud
Pacific West and its owner hid and minimized "risks in order to sell more life settlements," the SEC said.
FolioDynamix Builds on Its Stealthy Success
Call it the largest company you’ve never heard of, even though it goes head-to-head with Envestnet and other large industry mainstays.