Firm Settles FINRA Charges For Failing To Detect Unsuitable Recommendations
A firm settled FINRA charges for failing to detect that its representative recommended an unsuitable investment strategy.
Recent
Fidelity Investments to hire dozens of remote financial planners in Houston market
Fidelity Investments plans to hire dozens of new associates in the Houston region this year as part of a nationwide expansion effort.
How wealth firms can create digital delight among clients
Global surveys point to opportunities for wealth managers to improve engagement and satisfaction.
RIA in a Box Announces Strategic Acquisition of Leading Cloud-based Virtual Desktop Provider, ITEGRIA, LLC
RIA in a Box announced today that it has acquired ITEGRIA, LLC, a leading provider of cloud-based virtual desktop solutions for RIAs.
FSI: Dropping The Independent Contractor Rule "Disappointing"
Advisors choose the independent model to have the freedom to operate their own business, and many left an employee role to do so, Dale Brown explains.
Archegos Blowout Leaves Regulators Fired Up, Shareholders Angry
Closer to home, U.S. regulators risk overstepping as they push for changes to disclosure rules, according to some market observers.
How advisors can help families start smart with the expanded Child Tax Credit
Stimulus packages passed throughout the pandemic have created opportunities for advisors to be more proactive in financial planning for families.
