Rep Violated Reg BI With Excessive Trading in Older Clients' Accounts: FINRA
By Melanie WaddellThe rep was suspended and ordered to pay more than $27,000 in restitution.
January 16, 2025
New Raymond James Program Seeks to Support Tampa Bay EducationThe firm has committed $7.5 million to nonprofits that support success within and outside the classroom.
January 16, 2025
AI Will Wipe Out 80% of Financial Planning Business, Advisor PredictsMega-firms will use data aggregation to swallow the middle market, Thomas Goodson says.
January 16, 2025
Capital One Customers Report Missing Direct DepositsCustomers are complaining that expected direct deposits are missing; the bank says it is fixing technical problems.
January 16, 2025
BofA Boosts Earnings on Strong Loan Income“Every source of revenue increased ... ” in the quarter, said CEO Brian Moynihan.
January 16, 2025
Morgan Stanley Profit Doubles to $3.7BIn wealth management, net new assets fell just shy of estimates though revenue topped expectations.
January 15, 2025
Integrated Partners Adds $1B Retirement Firm in San DiegoRetirementDNA specializes in serving retirement plans and delivering executive benefits.
January 15, 2025
New RIA Platform Promises Better Compliance and Lower Advisor CostsFeatures of RIA Out of the Box include privileged legal services and ongoing startup support.