The advisers allegedly violated Finra rules and firm policy by encouraging some of their larger clients to invest directly in hedge funds.
Women are focused on retirement issues, yet advisers don't always get their messages across.
For many women, the subjects of money, investing, finances and the markets are secondary to family, health, community and personal passions.
<b>Advisers on the Move</b> - Eleven brokers from UBS and Merrill Lynch joined Wells Fargo in California. See more recent moves in our <a href="http://data.investmentnews.com/aotm/">exclusive Advisers on the Move database.</a>
Little thought &ndash; or government help &mdash; is given to the question of how to make withdrawals from a retirement plan
Changes would not take effect until 18 months after SEC signs off, three times longer than originally proposed.
In a Take Five interview, the adviser-coach says traditional advisers risk irrelevance if they can't respond to firms like Wealthfront and Betterment.
Studies show that people spend as much as 100% more when they don't use 'real' money.
Jonathan Sokobin, the regulator's chief economist, will bring together a group of small firms to better understand costs and benefits of the proposal.
Group will advance recommendations, with a key focus on cost versus benefit.
Today's <i>Breakfast with Benjamin</i> menu covers the U.S. dollar threatening to knock markets off balance, riding an ETF back into commodities, retirement plans turning on the Pimco Total Return Fund, and more.
Finra proposal bashed as an 'envelope-stuffer'
The role moving to the SEC would require brokers to put written procedures in place to verify the accuracy of applicants' U4 forms.
Advocate urges SEC leader to move ahead with split commission.
Obermeyer Wood takes over top spot for asset management in the state.
SWS Financial Services charged with green-lighting variable annuity applications without proper review for suitability.
As a first step, communication and coordination between advisers, regulators needs to be improved.
