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Under scrutiny: $1B in alt product sales draw first client claims
A slow-building saga involving investing, cars and trash is spilling over into a new phase — arbitration against ...
Common mistakes clients must avoid during Medicare open enrollment
Seniors should take advantage of Medicare’s open enrollment period to get the coverage that meets their health care needs, ...
New Cetera charges shed more light on 12b-1 fees, revenue sharing and markups
Undeterred by cries of protest from broker-dealers, the SEC hit another large firm with new charges relating to share-class ...
TD’s Skip Schweiss to bring fiduciary chops to FPA presidency
TD Ameritrade Institutional's Skip Schweiss, known as a fiduciary advocate, has been tapped to serve as president of the ...
Broker expungement requests soar. Is it a problem for FINRA?
Expungement requests have exploded in recent years as brokers seek to exploit loopholes in FINRA’s rules in order to erase ...
After public relations debacle, how vulnerable is Fisher Investments?
How vulnerable is Fisher Investments in the aftermath of the public relations debacle that began with Ken Fisher’s sexually ...
The invisible race to zero
In wealth management, the “race to zero” usually refers to disappearing trading commission fees at giant custodians and ...
Former Woodbridge CEO gets 25 years in $1.3B fraud
Woodbridge Group of Companies’ former Chief Executive Officer Robert Shapiro received the maximum sentence of 25 years in ...
Retirement confidence rebounds though fears of recession persist
After a recent spasm of anxiety, clients saving for retirement are channeling money back into that strategy with what appears ...
Can Envestnet's credit exchange compete with online lenders?
Envestnet is leveraging its tech ecosystem to get on top of what’s been a costly and burdensome process for advisors — ...
Ways to cut 2019 tax bills before it’s too late: Tax Strategy Scan
Now is the time for taxpayers to make moves to lower their tax liability for 2019, according to this article in MarketWatch.
Fisher clients may reassess after vulgar comments at conference
Billionaire Ken Fisher is starting to encounter a backlash after he made offensive remarks at a conference in San Francisco ...