FINRA Hits BD With $500k Fine Over Texting
By Melanie WaddellIt also suspended the firm's CEO for not preserving and checking 10,900 text messages sent or received by 27 associated persons.
April 07, 2024
5 Ways to Save Social SecurityFor Biden and Trump, the issue of how to reform Social Security could prove critical in the 2024 presidential election.
April 05, 2024
Medicare Advantage Program to Restructure Agent, Broker PayIn 2025, the maximum enrollment compensation will jump by $100, including what's paid for field marketing organization services.
April 05, 2024
Ameritas Adds Pontera's 401(k) Management PlatformAffiliated advisors will be able to make trades and manage retirement plan accounts using the new technology and tools.
April 05, 2024
3 Ways to Boost Your Services — and Your Advisory FeesAdvicePay found that in 2023, average pricing for monthly subscriptions was $265, a 6% year-over-year increase.
April 05, 2024
Ex-Ameriprise Advisor Awaits Sentencing in $1.2M Fraud CaseThe Texas-based planner pleaded guilty to defrauding clients; she used money to buy a house and shotgun.
April 05, 2024
Crager Opens Up on Challenges Facing Envestnet, AdvisorsSmall firms will be consolidated, and what counts is "integration, not the next whiz-bang feature," says the ex-CEO.
April 05, 2024
FINRA Hits Another BD in Finfluencers SweepThe promotional communications on social media platforms contained promissory language and violated organizational rules.