Trump's campaign manager said people made the mistake of assuming who the electorate was rather than listening to what the electorate wanted. <b><i>(Related read: <a href="http://www.investmentnews.com/article/20161202/FREE/161209978/trumps-policies-could-be-tough-on-emerging-markets-and-ignite-a" target="_blank">Trump's policies could be tough on emerging markets </a>) </b></i>
Bruce S. Horowitz charged big upfront fees but never invested any of his clients' money, the Massachusetts regulator claims.
Both former brokers settled and refused to testify.
Technology spending has edged out spending on business growth as the top priority for registered investment advisers, according to a recent survey.
The regulator said Anthony Mastroianni Jr. churned an elderly client's account at two different brokerages.
There will be a variety of desired and unexpected consequences of the DOL fiduciary rule.
Regulator looking into incentives firms are offering employees to promote bank products of an affiliate or parent company to retail brokerage customers in wake of Wells Fargo scandal.
Only 6% of reps with checkered backgrounds were placed on heightened supervision by their broker-dealers, according to a new report.
Integrated Financial Partners has 135 financial advisers and 20 offices around the country. <b><i>(More: <a href="http://www.investmentnews.com/article/20161118/FREE/161119932/star-broker-ron-carson-is-leaving-lpl-to-jump-to-cetera" target="_blank">Star broker Ron Carson is leaving LPL to jump to Cetera</a>)</b></i>
Gen Xers need lots of financial advice but they're ignored by planners, Cerulli finds
Investors appreciate both, but do turn to traditional advisers over digital ones for some services.
Ad campaign suggests robo-adviser is ready to battle for fiduciary standard.
Younger generations may opt to go robo at their local financial institution rather than seek out an adviser.
Automated-adviser says professional services firms are especially interested in its retirement advice technology.
Advisory boards provide feedback that can help firms deliver the kind of experiences that turns clients into their advocates.
During one nine-month period, the firm failed to deliver close to 2.1 million prospectuses to online customers because of a missing hyperlink.
