Why NASAA Is Leading the Charge Against Elder Fraud
At least one-third of the enforcement actions initiated by state securities regulators involve senior investors, and NASAA is tackling the issue head on.
Elder Financial Abuse Targeted by State Regulators
Since 2008, NASAA said, more than 34% of enforcement actions by state securities regulators have involved senior victims.
IRA Rollovers Face Scrutiny by ERISA Panel
The volume of retirement assets rolling out of defined contribution plans has gotten the DOL's ERISA Advisory Committee’s attention.
Raymond James Program Grooms Associates for Advisor Roles
After a pilot program, the firm says it will look to train additional client assistants to boost the number of female reps.
Ron Carson: Want Growth? Do Client Advisory Councils the Right Way
Embrace transparency, advisors: done the right way, a client advisory council is the best way to organically grow your practice.
New Hire Roundup: Armstrong Named Wealth Dynamics Coach at Ascent
This week in new hires, Helen Zhou became managing director of private banking for the Private Client Reserve of U.S. Bank in San Francisco, and Ryan Kaufman has become a registered representative with Securities America.