LPL CEO Addresses Firm’s Compliance Woes
The firm “is close to being done” resolving several enforcement issues it has faced over the last few years, CEO Mark Casady said.
Top Portfolio Products: Hancock, Russell Add New Funds
Plus, T. Rowe Price closes health-sciences fund to new investors.
LPL Names Wright to New CTO Slot
The new IBD executive reports to Chief Information Officer Victor Fetter.
LPL to Pay $12M FINRA Fine for Failing to Supervise Sales
FINRA censured and fined LPL for broad supervisory failures involving sales of nontraditional ETFs, VA contracts and nontraded REITs.
BDs Fall Short on Protecting Seniors: SEC, FINRA
Report finds some BDs are recommending unsuitable products to seniors and could be violating FINRA’s communications rules.
Have REITs Peaked?
Analysts explain what changing interest rates and other trends mean for real estate.
LPL Financial Promotes Compliance Chief to Managing Director
Sharyn Handlesman has been with the indie BD, which had regulatory charges of $36 million last year, since 2010.
How to Shield Investment Income From IRS: Andy Friedman
The political forecaster and former tax lawyer has a few tax-smart suggestions for investors.
How to Handle the NIIT for Trusts and Estates
The impact of NIIT on trusts and estates cannot be understated. The overall tax consequences of this surtax on trusts is likely to be even more profound than on estates.
12 Best & Worst Broker-Dealers: Q4 Earnings, 2014
Here’s how some of the biggest firms’ earnings compared over the fourth quarter.