Agents and Advisors, Life Settlements and Compensation
By Lucas SiegelA life settlement industry player talks about how the money works.
March 01, 2021
Massachusetts BD to Pay $450K Over 12b-1 FeesThe BD also used its principal trading account to engage in self-dealing, the SEC says.
March 01, 2021
Merrill Ramps Up Wealth Unit as Rich Clients Flock to FloridaThe wirehouse plans to add about 20 UHNW teams in the state to meet growing demand.
March 01, 2021
Fidelity Charitable Wins Lawsuit Over Stock DonationA couple, both hedge fund managers, charged that false promises were made to induce them to contribute stock to a donor-advised fund.
March 01, 2021
Advisors Must Go Digital or Die: PanelExperts from firms including Broadridge and Edward Jones explain how tech can, and must, be used to meet clients' demands.
March 01, 2021
Sen. Warren's Wealth Tax Plan Is 'Nuts': Jane Bryant QuinnThe longtime financial journalist tells ThinkAdvisor the plan is "hopeless" and discusses other ways to tax the ultra-wealthy.
March 01, 2021
Gensler to Stress 'Clear Rules of the Road' at SEC Nomination HearingIn his prepared testimony, Gensler also says "markets — and technology — are always changing. Our rules have to change along with them."
March 01, 2021
FINRA Fines Ex-Morgan Stanley Rep Over Inaccurate Meal Expense ReportsThe advisor sued Morgan Stanley for wrongful termination.