'If you crack yourself open, they'll crack themselves open alongside you. It makes the focus of your relationship about the truth,' Lupe Camargo said at the InvestmentNews Women Advisor Summit.
William Galvin and Joseph Borg find and respond to violations at the ground level, where their constituents are harmed.
Lawmakers talk about reducing the federal budget, but entitlements are off the table. 'It's not mathematically honest,' Jeff Bush said.
'This is the definition of a soft landing,' Varghese said about recent employment statistics in remarks at the InvestmentNews Retirement Income Summit.
Now's a good time to take the tax hit on transfers out of an individual retirement account because rates are low.
NASAA says Finra's modifications don't do enough to make it harder for brokers to clear customer disputes from their records.
The measure establishes tighter procedures and a special roster of arbitrators to hear brokers' requests to clear their records of customer disputes.
Cash donations represented 40% of allocations to donor-advised funds at Vanguard Charitable in the seven months ended in January, up from 29% in the same period a year earlier.
Finra arbitrators order the firm and a broker to pay about $500,000 to a former McDonald's franchise owner after an options trading snafu.
Advisors say the results of the poll reflect what they're hearing from their clients these days: Upward pressure on prices is 'a hot topic.'
