BD Fees Confuse Investors: NASAA
“Investors are confused and unaware of how much their brokerage firm charges to serve and maintain their investment accounts,” NASAA President William Beatty said.
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.
The New Culture of Advisory Success
Just how important is culture to an advisory firm's success? It's everything. Yet it is often overlooked. Here are three firms with innovative business cultures.
50 Ways for States to Tax Residents
Which states have the lightest tax burden? The answer isn't as straightforward as it seems.
Time to Hop On for Horse Investing?
Partnerships and expenses have to be carefully considered to turn this hobby into a profit-making venture.
Raymond James Taps Former Morgan Stanley Exec for West Coast Growth
Rick Sanchez comes on board in the San Francisco area to expand branches and recruiting for the employee channel.
Bill to Delay DOL Fiduciary Rulemaking Is Revived
Rep. Ann Wagner, R-Mo., has reintroduced a bill to force the DOL to wait until the SEC makes its own fiduciary rule.
Raymond James Nabs $2.6M Ex-RBC Team
In addition, a former Merrill Lynch rep affiliates with LPL Financial, and Baird adds an ex-UBS team.
Fighting Financial Exploitation of Seniors
Senators, SEC Investor Advocate Rick Fleming and NASAA ponder whether new laws and programs could make it easier to report financial abuse.
Ultra-Wealthy Own $3 Trillion in Luxury Real Estate Assets: Report
Luxury residential real estate holds a special place in the portfolio of the world’s ultrawealthy population, according to a report by Wealth-X and Sotheby's.