The new president plans to focus on SEC’s exempt offering framework, diversity and inclusion issues
Firms will pay $1.4 million in restitution to about 100 clients and fines of $675,000
Matthew Clason allegedly liquidated securities and transferred the proceeds to a joint account
The number of accounts has grown to more than 29 million in the past year
The Overland Park, Kansas, trio will operate as MDS Advisors of Raymond James
Report says the Labor Department's information about claiming retirement benefits may be insufficient
From Washington, D.C., special guest Mark Schoeff joins hosts Jeff Benjamin and Bruce Kelly to look at the fallout for the wealth management industry in the wake of both the Democratic and Republican national conventions
Regulator says the firm failed to supervise reps’ sales of risky energy securities
It’s not just about the potential for losing prospective business, but how political viewpoints can impact the adviser-client relationship
The third annual InvestmentNews Excellence in Diversity & Inclusion Awards highlight the achievements of 14 individuals, as well as the initiatives of 15 firms that prioritize diversity and value the creation of an inclusive environment
