FINRA’s Top 5 Fine Categories: 2024
By Michael S. FischerThe $59 million in assessed penalties was down 35% from 2023, according to an analysis by Eversheds Sutherland.
March 13, 2025
Why Investors Might Switch Advisors, and Other InsightsDon’t miss ThinkAdvisor’s upcoming webcast on the results of Orion’s 2025 Wealthtech Survey and inaugural investor survey.
March 13, 2025
Vanguard Faces Class-Action Suit Over $100 Exit FeeThe charge is a "junk fee" meant to penalize customers who close accounts, the suit contends.
March 13, 2025
Why Edward Jones Is Shrinking Its Home OfficeWhile there's no headcount reduction target, reduced “overlap and bureaucracy” is expected, Managing Partner Penny Pennington tells ThinkAdvisor.
March 13, 2025
12 Most Expensive States for Long-Term Care: 2024Costs rose for all care types, Genworth and CareScout found.
March 13, 2025
New Bill Limits Social Security Clawbacks to 10-Year WindowCurrently, an indefinite lookback period allows SSA to collect funds from a recipient going back decades.
March 12, 2025
Why U.S. Life and Annuity Issuers Want the World to Calm DownAbout $1.8 trillion of their assets, and some of their owners, are in other countries.
March 12, 2025
Your Firm Was Taken Over! Now What?While change is inevitable, advisors need to be patient. Here are eight steps to consider.