Altruist Ends Portfolio Software Fee for Advisors
By Jeff BermanThe custodian had been charging a monthly portfolio accounting fee of $1 per brokerage account.
September 22, 2023
SEC Hits Wisconsin BD With Reg BI FineThe firm's policies and procedures contained Reg BI language but weren't tailored to its business, the SEC said.
September 22, 2023
Goldman Sent Inaccurate Data to the SEC on 163M TradesThe bank agreed to pay a $6 million fine.
September 22, 2023
5 Broker Behaviors That Should Raise a Red FlagFINRA is warning investors to be wary of certain behaviors by their brokers that can signal likely misconduct.
September 22, 2023
10 Insurance Sales Success StrategiesThere are all sorts of new tricks, and then there are the techniques that work.
September 22, 2023
Yes, Homeowners Insurance Is Your ConcernFor many high-net-worth clients, this has suddenly become the top financial headache.
September 21, 2023
What 7 Advisors Are Saying About 60/40 Portfolios, Tech Stocks Now: Advisors' AdviceAs balanced portfolios have bounced back, here's what advisors are telling their clients.
September 21, 2023
FINRA: Broker Barred After Investing $2M Without Firm's ApprovalHilltop Securities affiliate Momentum Independent Network fired the broker over the unapproved investments, FINRA said.