Leo G. Rydzewski has been lead counsel in compensation-description litigation for the board, and in part replaces Michael Shaw, who left Dec. 12.
The broker-dealer and its top adviser in Louisiana cut ties after the adviser received a Wells notice announcing a Finra investigation. Adviser says the separation is unrelated.
The expectations many investors have baked into their financial plans for the future are based upon recent or historic gains.
Legal recognition of same-sex couples means fewer complications and new options for investing.
"Wonder Woman of Wall Street" plans to appeal decision, seek expedited review.
Transportation is one of the highest expenditures for older Americans, yet many advisers aren't pushing the mobility conversation with clients.
Customers can pick up bottles at their local liquor stores or get it by the glass in certain top bars.
The Residence, as one airline calls its over-the-top ultra-luxe offering, will be available on New York-Abu Dhabi flights starting in December.
CEO of Personal Capital sees investors choosing new options over the old due to fee transparency, focus on customer's best interests
<i>Breakfast with Benjamin</i> We all know a rate hike is coming, and ignoring it is not a plan &mdash; so the time is now to look at bond allocations.
Chief executive Mark Casady says the firm has "couple things left to go" before enforcement actions resolved.
If your firm doesn't offer alternatives to face-to-face meetings, now is the time to draw up a game plan.
As investors hunt for yield and security, money-market fund managers detail their changes.
Voya Financial Advisors has restricted sales of variable annuities for the second time in two months, as the brokerage firm faces increased pressure from regulators questioning the suitability of the products for retirement savers.
Broker Steven Mark Wyatt was accused of unauthorized and excessive stock-market trading during and after the 2008 financial crisis.
Other advisers dinged by fee-only compensation definition weigh in on judge's decision.
U.S. District Judge Richard J. Leon granted a motion for summary judgment and dismissed the controversial lawsuit against the CFP Board filed by Jeffrey and Kimberly Camarda involving use of the fee-only compensation label.
Long treated with kid gloves, big producers now face questions about alleged violations.
Our latest in the 'Adviser's Consultant' series features tips from Constellation Wealth Advisors CEO Paul Tramontano.
Jobs and wages are rebounding, time to get those millennials out on their own.
