FINRA Bars Ex-Primerica Rep Accused of Faking CE Completion Documents
By Jeff BermanThe Florida Department of Financial Services suspended the ex-broker for six months over the allegations in 2020.
January 13, 2022
Here's What's Ahead for Active ETFs in 2022: CerulliA big gap exists between advisors and asset managers around perceived demand for sustainable ETFs, according to the research group.
January 13, 2022
Riskalyze Adds Tricia Rothschild to Board: Tech RoundupAlso, Redtail Technology opens its text messaging platform to all advisors.
January 13, 2022
Are Your Internet Credentials Important? Ask Amazon.If prospects search for you by name on Google, what will they see?
January 13, 2022
How One Investor Beat Robinhood in FINRA FightThe unprecedented victory will likely create a "headache" for Robinhood, law professor Benjamin Edwards says.
January 12, 2022
E-Trade to Pay $350K Over Weak Trading OversightE-Trade "failed to establish and maintain a supervisory system" to detect "potentially manipulative trading" by its clients, according to FINRA.
January 12, 2022
15 Long-Term Fund Picks for 2022: MorningstarLook for cheap, cautious and sustainable funds, Russel Kinnel writes.
January 12, 2022
Senior Market Sales Acquires a Call Center Company: DealsMedigap Life will keep its offices and call centers in Florida, North Carolina and New York.