State-Registered Advisors Lack Policies to Protect Seniors: NASAA Report
By Melanie WaddellAdvisors "must make improvements in recognizing and reporting cases of suspected abuse," said Lisa Hopkins, NASAA president.
September 21, 2021
Democrats Link Debt Limit to Vital Spending Bill in a Dare to GOP"I don't know what the endgame is, because there's no precedent for anything so irresponsible," Sen. Patrick Leahy, D-Vt., said.
September 20, 2021
Fidelity Taps New Leader for $4T Personal Investing DivisionJoanna Rotenberg is to join the firm in November after 11 years at BMO Financial Group, replacing Kathy Murphy.
September 20, 2021
More Wealthy Business Owners Looking to Retire, Move or Sell: SurveyTwo-thirds of wealthy business owners say COVID accelerated their plans to retire or sell, Clarfeld | Citizens Private Wealth found.
September 20, 2021
FINRA Fines Ex-Merrill Rep Who Hid Felony Drug ChargesThe broker was charged with possessing more than 10 pounds of marijuana and lied about it on two U4 forms, FINRA says.
September 20, 2021
The Key to Entertaining Clients in Restaurants Without Going BrokeIf you pick a restaurant, in advance, in each of these 10 categories, you'll always have a budget-friendly option at the ready.
September 20, 2021
William Sharpe: There Is No Retirement 'Number'The Nobel laureate talks to ThinkAdvisor about retirement uncertainty, co-founding Financial Engines and the market development that has him "freaked out."
September 20, 2021
Tidemann Group, Alvarium Investments to Merge via SPACThe new firm, with $54 billion in assets, will be called Alvarium Tiedemann and trade on the Nasdaq under the ticker GLBL.