Reg BI Cases Keep Increasing
By Melanie WaddellFINRA brought more actions in 2025 than in previous years, an exec details at its annual conference.
May 13, 2026
Ex-LPL RIA Employee Sentenced to Life in Prison for Murdering Co-Worker, RoommateRamy Hany Mounir's Fahim's sentence includes no possibility of parole.
May 13, 2026
Life Settlement Firm Aims to Get 30% of Revenue From Wealth Advisors by 2030Abacus hopes experience with life expectancy forecasting will help with wealth transfer planning.
May 13, 2026
Vestmark Launches AI Tool With Portfolio MonitoringPulse evaluates events and suggests portfolio actions.
May 13, 2026
PRO
How to Help Grown Children and Aging Parents With Tough TalksAdvisors "can move a conversation in 30 minutes that a family has avoided for 30 years," planner Jim Crider says.
May 13, 2026
Senate Confirms Kevin Warsh to Lead Fed in Narrowest-Ever VoteThe vote sets up a controversial leadership transition at the central bank and a test of its political independence.
May 13, 2026
DAFs Gaining Importance in Advisor-Client Relationships: ReportFinancial professionals have growing influence on the increasingly favored charitable giving vehicle for Americans, research finds.
May 13, 2026
Schwab Plans to Use AI to Boost Service for Clients With Less Than $1MAI will enable Schwab to provide "some of the same personalized insights" wealthier clients get, says CEO Rick Wurster.