While the partial shutdown is an immediate threat for clients, President Trump’s executive order has the potential for a bigger impact.
Chris Noone is the latest to take legal action after the insurance company cut trail commissions on annuity contracts.
Despite numbers to the contrary, regulators are likely to double down on compliance in the near future.
Signature Wealth’s Managing Partner Chip Munn describes the firm’s strategy of buying books of business and then handing them off to younger advisors who can service the clients.
Summit Equities will pay $100,000 for failing to supervise reps who mishandled clients’ personal information.
There is brilliance in simplicity.
Former Ladenburg Thalmann Chairman Phillip Frost has agreed to pay a $5.5 million penalty to settle SEC charges against him.
