FINRA Announces Resumption Of In-Person Arbitration Hearings
FINRA Dispute Resolution Services has announced it will reopen the majority of its 69 hearing locations across the United States.
Recent
Canadian RIA CI Gets Serious About US M&A
CI Financial will spend $5.1 billion to acquire Dowling & Yahnke as the Canadian RIA continues to expand its presence in the United States.
COVID Hiring Freeze Ends At Edward Jones
The wealth management network said in a statement that it would begin hiring second-career recruits again but do so in a slow and thoughtful manner.
Merrill Launches Paperless Account Onboarding
It isn't about advisor efficiency. Traditional Wall Street firms are desperate to compete against the convenience of competing robo investing tools.
RIA Aggregator Focus Financial Beats Earnings Expectations
With revenues of $394.2 million in the first quarter of 2021, Focus’s results are up 16.9% uptick year over year.
Chicago: Darayl Davis Sentenced for Swindling Investors
Financial Advisor, Darayl Davis Sentenced to More Than 13 Years in Prison for Swindling Investors Out of $5.1 Million
Does it matter what advisers are called?
The public need advice more than ever but remain confused over the options. Are advisers’ titles important, and is there a definitive term anyway?
