FINRA Fines BD Over Handling of CEO Email Hack
By Melanie WaddellThe CEO, who was also the firm's chief compliance officer, ignored suspicious notifications for about four months, FINRA says.
February 23, 2021
RIA vs. IBD: Which Option Is Right for You?Prospective breakaway advisors often have a hard time deciding between different individual models and options.
February 23, 2021
FINRA Bars Ex-Wells Fargo Rep Over Private Securities TransactionsThe firm's former broker allegedly solicited clients to invest in a software company he was invested in, FINRA says.
February 23, 2021
Meet the Ex-Wirehouse Exec Turning the Rockefeller Family Office Into a Wealth Management FirmIn an interview, CEO Greg Fleming comments on the rumor that Rockefeller Capital is offering lucrative signing bonuses to advisors.
February 23, 2021
Fed Chairman Vows to Keep Supporting Economic Recovery"The job is not done. ... We've got to get the pandemic under control so the U.S. economy can reopen," Powell said.
February 23, 2021
New Index Rates Companies on Racial Justice CriteriaThe Black Dollar Index scores companies based on ratings that inform Black consumers about company practices.
February 23, 2021
15 Cheap, Friendly Cities for Retirement: 2021One notable factor in this ranking of metro areas is the availability of communities for residents 55 and older.
February 23, 2021
With Successful IPO, Oscar Health May Be Worth $7.7 BillionThe company could begin selling stock to the public next week.