FINRA Dings Ex-UBS Rep for Failing to Repay Promissory Notes
By Jeff BermanThe wirehouse had alleged its former advisor failed to repay more than $540,000 when he resigned.
September 27, 2021
Integrity Marketing Acquires Medicare Firm: DealsSimplicity Group has scooped up Sawtooth Solutions.
September 27, 2021
Finding Stock Bargains in a Strong EconomyWorries on the delta variant, the Fed and China paired with strong economic fundamentals create a good environment for bargain hunters.
September 27, 2021
New York State to Get a New Top Insurance RegulatorMeanwhile, the American Academy of Actuaries has a new executive director.
September 27, 2021
Barred Broker With 37 Client Complaints Hit With SEC Fraud ChargesMichael Shillin is accused of deceiving more than 100 clients on matters including insurance, pre-IPO shares, taxes and retirement accounts.
September 27, 2021
DFA Launches Digital SMA Platform, Slashes Minimum InvestmentThe tech-enabled platform cuts the SMA investment minimum to $500,000 from more than $20 million.
September 27, 2021
Trade Groups Urge DOL to Extend Fiduciary Rule Compliance DateThe groups express concern that small firms can't afford to comply with a Trump-era rule that may soon be replaced.
September 27, 2021
Long-Term Care Planning: What Advisors Should KnowPhysician and advisor Carolyn McClanahan outlined how advisors can help with long-term care decisions.