Today's Headlines

Fraudsters take advantage of athletes’ large cash flows and lack of time to manage their finances, according to a recent report from EY.

Moving offices can be challenging for client-advisor relationships, but experts say FAs can bridge the gap by effectively using technology and establishing a virtual office.

Michael Miller says Finra arbitrators violated the self-regulator’s procedures by failing to disclose information.

But LPL has lost another veteran recruiter, this time to Fidelity.

Earlier this year, the Securities and Exchange Commission proposed a new rule called Regulation Best Interest, which aims to ensure that brokers put their clients’ interests above their own. But the SEC’s 400-page proposal does not define “best interest,” leading to industry questions. This is the latest video in Ignites' Explainer series, which offers primers on oft-used but rarely explained terms, concepts and trends.  Video [ 3:45 ]   Transcript  

Thomas Caufield allegedly fraudulently raised more than $6 million in a Ponzi-like scheme.

The confirmation of Elad Roisman will help SEC Chair Jay Clayton on deregulatory issues and cryptocurrency focus, experts say.