FINRA Suspends Rep for Excessive Trading in Retiree's Account
By Melanie WaddellGary Talbot of Spartan Capital recommended a series of transactions that violated Regulation Best Interest, an order states.
August 24, 2026
Annuity Players Should Use AI to Watch the Game, Marketer SaysSeth Friedman wants the industry to supplement due diligence with "living institutional intelligence."
August 24, 2026
What It Takes to Advise Athletes and Entertainers at UBS"It takes a little more education and effort" to build these relationships, says Adewale Ogunleye, who runs a training program.
August 24, 2026
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When Newlyweds Discover They're Not Financially EqualThe wife, 65, had four times the retirement assets of the husband, 75. Here's how advisor Erin O'Brien helped make it work.
August 24, 2026
T. Rowe Price to Acquire F/m InvestmentsThe deal with the fixed income and ETF firm will expand capabilities in high-demand areas, an executive says.
August 24, 2026
Ex-Fidelity Advisor Sentenced to Nearly 7 Years for Stealing $2M From Elderly ClientEric James Stone befriended a 75-year-old woman and used her money on gambling websites, DOJ says.
August 24, 2026
Kestra Appoints New Head of Wealth ManagementAfter 13 years at BlackRock, Kelly Apple replaces John Amore, who had been promoted to president.
August 24, 2026
6 Creative Ways Financial Pros Met Wealthy ProspectsWhen you talk to successful advisors, there is often a story about how they got their big break.