A national independent broker-dealer is raising fees, including its advisor affiliation fee, starting Jan. 1, 2012, after two decades of maintaining the same rates.

The parent company of one of the largest brokerage companies in the U.S. filed for an initial public stock offering worth up to $600 million.

LifeCare Gateway, a Pennsylvania-based provider of web-based services and other marketing support to financial service professionals, signed a deal to offer Health Advocate’s health resolution programs to its roster of services.

A Boston-based financial firm has reached a settlement with Montana regulators where it will pay $1.3 million to victims of a Ponzi scheme allegedly perpetrated by a former employee.

The Guardian Life Insurance Company of America is expanding its Retirement Solutions national sales force as it pushes to sell more of its retirement products to small- and mid-sized businesses.

The nation’s largest independent broker-dealer, LPL Financial Corp., has chosen Guardian Life Insurance Co. of America as its strategic partner for its new Retirement Plus Program.

NAVA, the Association for Insured Retirement Strategies, has changed its name to the Insured Retirement Institute, as part of a rebranding that includes a new mission and the welcoming of …  Read →