FINRA Fines Ex-Waddell & Reed Broker Who Took Client Info to Securities America
By Jeff BermanThe ex-Waddell rep shared his clients' nonpublic personal info with a third-party vendor, FINRA says.
March 15, 2021
Investors Should Save More, Expect Higher Taxes and Diversify: J.P. MorganAdvisors should speak with pre-retirees about what spending is non-negotiable, says Chief Retirement Strategist Katherine Roy.
March 15, 2021
7 TED Talks Advisors Recommend: 2021Although a few of these talks discuss managing money, all dive into managing one's life.
March 15, 2021
Schwab Sees 'Massive Surge' in Social Media-Influenced TradingSchwab's core net new assets were $51.4 billion last month, while total client assets were $6.9 trillion.
March 15, 2021
Biden Plans First Major Tax Hike Since 1993The White House has rejected the wealth tax proposed by Sen. Warren but is still targeting the wealthy in its expected suite of tax hikes.
March 15, 2021
Life Insurers Fight Social Media Vaccine DisinformationVaccine foes are trying to use worries about life insurance to scare people away from getting their shots.
March 15, 2021
Tele-Crooks Prefer Banks to Insurers: PindropThe average 2020 contact center fraud rate was about seven times higher at banks.
March 15, 2021
This ETF Has FOMO in Mind: Portfolio ProductsIn addition, O'Shaughnessy Asset Management has expanded its ESG SMA offerings on its custom indexing platform.