What Maryland's Newest Fiduciary Bill Means For Financial Advising
Another state is stepping into the fiduciary arena as Maryland recently introduced a bill that intends to create a level playing field ....
Recent
North Texas Financial Planner William Neil ‘Doc’ Gallagher Arrested In Securities Fraud, Money Laundering Scheme
Authorities arrested investment advisor William Neil “Doc” Gallagher on charges of engaging in a multimillion-dollar fraudulent investment scheme...
Self-reporting is a difficult decision for some firms; pros and cons and considerations
Regulators in recent years have been encouraging registered firms to self-report violations.
State regulators step up to back Nevada fiduciary law
Other states are lining up behind Nevada to back its fiduciary rule for brokers and RIAs.
Investment Adviser Ordered to Pay $1.6M Restitution to Pension Plan
After a U.S. Department of Labor EBSA investigation of a multi-million dollar pension risk fraud, the U.S. District...
Mercer Buys Confluence
Mercer Global Advisors announced the acquisition of Confluence Financial Advisors.
Mercer buys $240m Colorado RIA
The aggregator has purchased Confluence Financial Advisors in Boulder.
