Firm falsely claimed brokers in banking unit were paid based on client performance, regulator charged.
It may be more essential to negotiate how a note is forgiven than the amount of capital that is being offered.
Claims against Justin Amaral include liquidating and acquiring annuities for victim by forging her signature.
Finra alleges a New Jersey-based broker-dealer failed to reasonably supervise VA sales.
<i>Breakfast with Benjamin</i>: This week's rate hike could hit the markets in a half dozen, mostly bad, ways.
Some advisers swear by it, while others shun it as useless legalese.
Brokerages would have to send an 'educational communication' to investors outlining questions they should ask their broker about compensation and other inducements for switching firms.
Fiduciary legislation could be a part of Congressional negotiations to avoid a government shutdown.
The non-profit organization behind the CFP designation is debuting a center to promote greater diversity in the industry and build a body of academic research.
Steve Dunlap takes the helm at the wealth management tech provider FolioDynamix.
<i>Breakfast with Benjamin</i>: The bond market selloff has sparked fears that the Fed might not hike rates today.
Now is the time to determine marketing strategies to achieve your goals in the coming year.
Investor was sold aggressive investment strategies despite stating low tolerance for risk.
<i>Breakfast with Benjamin</i>: Just when the Fed felt it was safe to move off a zero-rate policy, all kinds of heck is busting loose in the high-yield bond market.
The challenges of being among the nation's 8% of financial advisers who are black
Clients from the black community face barriers to financial advice, according to a group of African-American advisers who participated in an <i>InvestmentNews</i> roundtable.
The industry has two major problems. It lacks diversity, and it doesn't recognize that it lacks diversity.
Despite having less experience than women, men in the service adviser role, for example, were nearly twice as likely to have been promoted in the past year.
