RIAs are unlikely to disclose PPP loan forgiveness
Experts say that firms have no obligation to do so.
Recent
Pricing Excellence Is A Strategic Differentiator In Wealth Management
Extreme market volatility and economic uncertainty following the Covid-19 pandemic give wealth managers a chance to improve relationships with clients
The Five Worst Ideas In Money Management
After years of work, my research supports these ideas, and some may come into conflict with conventional thinking.
SEC bars advisor who steered clients into Ponzi scheme
Rumbaugh allegedly pocketed commissions after he convinced clients to pour money into a real estate strategy that turned out to be a Ponzi scheme.
State Regulators Not Feeling So Graceful Now: Investment Adviser Representatives Who Relocated to Other States for Pandemic May Have to Register as Grace Periods End
State regulators recognize that the new “work from home” environment is here to stay.
Future Of DOL Fiduciary Rule Unknown Under Biden Administration
In all likelihood, the DOL will finalize its fiduciary rule before the year’s end. But It’s fate under the coming Biden Administration remains unclear
Volatility blunders and the runaway advisor
The number of travel agents has been cut in half over the past two decades, while the financial advice industry is booming.
