Firm is moving to fees based on the amount of each customer's assets.
Investor advocates and industry representatives are both hopeful and concerned after studying overview of proposal slated for release on April 18.
The scheme involved soliciting the clients of another barred adviser.
Ms. Havlik will oversee Finra's surveillance and examination programs.
Domingo Gonzalez deposited client check into his bank account and spent it.
It could become a flash point that goes beyond semantics.
William Brunner had resigned from Investment Planners Inc. last May.
Group advocating for investments like REITs, BDCs, close-end funds, and energy and equipment leasing programs changes name to Institute for Portfolio Alternatives.
Some lawmakers are warming to the notion of using annuities to help solve the nation's retirement crisis
Firms's advisory arms settle with SEC over breaching fiduciary duty and failing to disclose conflicts.
Concurrent concern brewing over a pilot program being beta-tested through next year, possibly longer.
Broker-dealer drops effort to stop 60 cases related to steep Merrill stock dive in 2007-08.
US authorities investigating whether unit inappropriately sold clients in-house investments.
Class-action lawsuit against Edward Jones reflects concern over shifting clients from commission- to fee-based accounts.
Court agrees with university that offering many investment options is not a violation of ERISA.
Maryland senator pulls provision requiring such duty from bill, Nevada's time line for regulation remains uncertain.
Lawsuit alleges futures broker committed suicide because bank forced him to retire.
The ruling doesn't apply to services, so investment management services for retirement plans and IRAs remain fiduciary activities.
Regulator claims Frederick David Holloway replaced lower-cost variable annuities with higher-cost ones without ensuring they were suitable or in their clients' best interests.
Wirehouse wants author's wrongful termination claim to be handled in arbitration.
