SEC Hits RIA With $6.5M Texting Fine
By Melanie WaddellSenvest employees communicated about company business internally and externally using personal texting platforms.
April 03, 2024
Don't Worry About Fewer Rate Cuts: Morgan StanleyThe need for fewer interest rate cuts is generally reason for optimism, says Senior Portfolio Manager Andrew Slimmon.
April 03, 2024
7 Tips for Advisors Planning to Break AwayThe growing independent RIA space includes both entrepreneurial younger advisors and those within sight of retirement.
April 03, 2024
Do You Need $1.5M to Retire? 5 Experts Weigh In on the New Magic NumberChristine Benz, David Blanchett, Michael Finke, Jamie Hopkins and Marcia Mantell discuss the latest retirement target.
April 03, 2024
Commonwealth Must Pay SEC $93M Over Revenue SharingCEO Wayne Bloom said the firm is "exploring all options to continue to defend our position."
April 03, 2024
Vanguard Buys New Campus in CharlotteThe giant asset manager purchased the 91-acre North Carolina property for a reported $117 million.
April 03, 2024
Cambridge Rolls Out 'Personal CFO' Service for Wealthy ClientsThe new service includes cash-flow management, tax planning, wealth protection and more for HNW and UHNW investors.
April 03, 2024
Reg BI to Be 2025 SEC Exam PriorityThe SEC is issuing more Risk Alerts and releasing its priorities early, the agency's exam director said Tuesday.