LPL Financial Settles Allegations Of Inadequate Anti-Money-Laundering Procedures
LPL Financial has agreed to pay $18 million to settle allegations of failing to close or restrict accounts due to inadequate AML procedures.
Recent
SEC Fines Firms For Use Of Unauthorized Communication Methods
The SEC has fined 12 registered investment advisors and broker-dealers for failing to properly record and preserve employee messages.
Atlas Financial To Pay $175,000 Due To Marketing Rule Violation
Atlas Financial Advisors, has agreed to pay $175,000 to settle allegations that it violated the SEC's marketing rule.
Bank CEO Introduces Year-End Recharge Period to Support Employee Well-Being
As a wealth advisor or Registered Investment Advisor (RIA), you know the importance of maintaining balance, both professionally and personally.
RIA Compensation Rose 17% From 2019 to 2023 According To Schwab
Competition for talent among registered investment advisors (RIAs) remains intense. Compensation for advisors rose 17 percent from 2019 to 2023.
Requirements For Obtaining And Maintaining CFP Designation Are Being Revised
The CFP Board is revising the requirements for obtaining and maintaining the Certified Financial Planner designation, seeking feedback from the public
Advisor Arrested On Charges Of Obstructing An Official Investigation
A Texas based investment advisor, Brooklynn Willy, has been arrested on charges of obstructing an official investigation into alleged investor fraud.
