Scott Mason, a former RIA based in Blue Bell, Pennsylvania, is facing civil and criminal charges for allegedly orchestrating a $20M fraud scheme.
LPL Financial has agreed to pay $18 million to settle allegations of failing to close or restrict accounts due to inadequate AML procedures.
The SEC has fined 12 registered investment advisors and broker-dealers for failing to properly record and preserve employee messages.
Atlas Financial Advisors, has agreed to pay $175,000 to settle allegations that it violated the SEC's marketing rule.
As a wealth advisor or Registered Investment Advisor (RIA), you know the importance of maintaining balance, both professionally and personally.
Competition for talent among registered investment advisors (RIAs) remains intense. Compensation for advisors rose 17 percent from 2019 to 2023.
The CFP Board is revising the requirements for obtaining and maintaining the Certified Financial Planner designation, seeking feedback from the public
