In this webinar on July 28, we'll offer guidance, best practices, and actionable recommendations for implementing a financial planning service at your firm. Join the discussion for key takeaways such as a step-by-step process for creating a financial plan, including fee structure.
The Massachusetts commonwealth secretary’s Securities Division charged former NEXT Financial Group representative Charles Kulch with stuffing client accounts full of the high-risk, high-commission investments.
Over the span of 12 years, Michael Barry Carter transferred about $6 million from brokerage and elderly investment advisory clients into his own bank account, the SEC claims.
A hybrid examination would be a viable, if temporary, approach to comply with regulations while protecting the health and safety of examiners, branch employees and advisors.
