Douglas Wayne Studer agreed to be barred from the securities industry.
Plus: T. Boone Pickens takes on President Obama's energy policy, how traders navigated the Fed, and starting your day off right
Most don't expect they could pass a hacking-preparedness test if the SEC came knocking, or even know all the compliance factors they are responsible for, according to a new Financial Planning Association study.
Adapting to regulatory changes has been a struggle, meaning the nontraded REIT industry's worst fears have come true.
The Enrons and WorldComs and Wells Fargos hurt the careers of innocent bystanders.
Income growth rates of African Americans have outpaced those of non-Hispanic whites, and many could use a planner to help dispel unhealthy money beliefs.
Increasing collaboration is at the top of the agenda for the new president of the North American Securities Administrators Association.
The fintech start-up is creating an investment platform that uses a proprietary algorithm that considers women's earlier salary peaks and longer life spans.
Robo-adviser launches new name and boosts investment choices to lure advisers to its digital platform.
In addition to innovations making planners more productive and freeing up their time, in the future, tools will provide better data-driven intelligence about clients.
Plus: The case for active management, hedge fund ETFs, and debunking some money myths
MAXIMAI will focus on ultra-high-net-worth clients internationally.
Coordinated exams in 20 states reveal need to improve policies, procedures to protect seniors.
One-third of family offices have lowered what they charge new clients, survey shows.
Even without client loss, adviser attrition can cost companies more than they realize in lost revenue.
Advisers should develop a social media strategy, bearing in mind the SEC's guidance.
Among the most important tactics the HighTower CEO employs to overcome this learning disorder is to shun multi-tasking and really focus on the task at hand.
It starts with the simple things, but not easy things. Asking questions. Listening more than we talk. Acting as a news filter to separate the valuable from the useless.
Attempting to define all firms as wirehouse, independent or regional is as accurate as saying all ice cream is chocolate, vanilla or strawberry.
