SEC Reveals More Deceptive Firms, Fake Regulators
By Melanie WaddellThe updated PAUSE list includes 35 soliciting entities, four impersonators of genuine firms and four bogus regulators.
October 31, 2022
Cold Calling Is Out; Lead Generation Is In for 2023: SurveySmartAsset asked advisors where they planned to focus their marketing efforts next year.
October 31, 2022
12 Restaurant Suggestions to Have Ready When Dining With the WealthyHave some solid suggestions at the ready and you can entertain prospects over a good meal at a reasonable price point.
October 31, 2022
Barred Broker Sentenced to 5 Years for Fraud That Shuttered Life Insurance FirmThe ex-broker scammed a life insurance company that was his client, leading it to be forced into liquidation.
October 31, 2022
How Much Income You Need to Rent an Apartment in 15 Major CitiesRecent rent hikes could be sending some of your clients looking for a cheaper place to live.
October 31, 2022
Penny Pennington Elected to FINRA Board of GovernorsFrom the enforcement of Reg BI to the implementation of new CE requirements, it's a busy time for FINRA.
October 31, 2022
Ex-Broker Sentenced to 20 Years in Prison Over Ponzi SchemePerry Santillo's 20-year sentence will run concurrently with a 17.5-year sentence he already faces.
October 31, 2022
We Should Just Accept We're Going to Have a Blah EconomyIt's just as likely we'll slog along in uncertainty as it is that inflation will lead to a deep recession.