SEC Orders Massachusetts Firm to Pay $700K Over Cash Sweep Conflicts
By Jeff BermanCantella & Co. allegedly placed client cash into cash sweep products through which the firm collected revenue-sharing payments.
September 01, 2021
Raymond James Delays Office ReturnThe St. Petersburg-based firm has told workers they don't have to return to the office until Oct. 11, according to people familiar with the matter.
September 01, 2021
Vanguard's Chief Information Officer Is RetiringJohn Marcante has been "a pivotal leader of Vanguard's High Net Worth and Advice client groups," according to the company.
September 01, 2021
9 Ways to Hit the Ground Running After Labor DayDon't miss out on the opportunities this "let's get back to work" milestone presents.
September 01, 2021
This Life Insurance Awareness Month Is DifferentIda, COVID-19 and the 20th anniversary of the Sept. 11 attacks are all showing why personal protection insurance matters.
September 01, 2021
Cathie Wood's New ETF Shuts Out Banking, Fossil Fuels and ViceArk's Transparency ETF aims to track an index that is made up mainly of large tech and consumer firms such as Salesforce and Tesla.
September 01, 2021
Treasury Unit Asks About Climate-Related Insurance Supervision GapsThe Federal Insurance Officer has implied that any new oversight efforts could affect life insurers.
September 01, 2021
Advisor Group Exec Moves to FMG SuiteSusan Theder will become chief marketing and chief experience officer of the software and services firm.