Ex-Merrill Rep Suspended, Fined After Firing Over False Statements
By Melanie WaddellMark S. Sorrell, who was dismissed by Merrill in 2024, knew a client lacked sufficient funds to buy a home.
April 02, 2026
The Pros and Cons of 20 Prospecting StrategiesTechnology changes, but the question remains the same: How can financial advisors find new clients?
April 02, 2026
Double Murder Trial Set to Start Friday for Former LPL RIA EmployeeThe defendant is accused of fatally stabbing a co-worker and the co-worker's roommate.
April 02, 2026
Industry Groups Back Effort to Make NAIC More OpenConsumers want free access to recordings. Industry groups want fewer closed sessions.
April 02, 2026
Mutual of Omaha to Expand Retail Annuity and Long-Term Care BusinessThe company has picked Laura Huscroft to lead a new Health and Annuity Solutions group.
April 02, 2026
Case Opens Door to COVID-Era Tax Refund ClaimsMany taxpayers may be entitled to significant refunds for late payments, late filings and other penalties.
April 02, 2026
Cambridge to Pay $280K Over Annuity SwitchesThe firm missed 22 "inappropriate exchanges" by a former rep because it lacked proper review, FINRA states.
April 02, 2026
Warren Buffett: 6 Nuggets On Markets, Berkshire and EpsteinMonths after stepping down as Berkshire CEO, Buffett shared thoughts in a wide-ranging interview with CNBC.