The LUMINARIES Class of 2021: Diversity, Inclusion & Thought Leadership
By ThinkAdvisorWe're pleased to highlight the advisors, broker-dealers, RIAs and others being honored this year in our pioneering recognition program.
August 25, 2021
SEC Accuses Advisor of Running $110M Ponzi SchemeThe Marietta, Georgia, advisor was named in a complaint by the SEC, along with two entities he controls.
August 24, 2021
Investors Demand More Diversified Products, Customized Advice: StudyInvestors want products that cut across wealth, insurance and banking and align with their values, Accenture found.
August 24, 2021
Why Many Young Couples Seek Out Female Financial AdvisorsAdvisor Amber Miller tells ThinkAdvisor how her gender, and her fee structure, help her attract Gen X and Y clients.
August 24, 2021
JPMorgan Settles With Advisors Who Jumped to LPL-Affiliated FirmThe temporary restraining order that J.P. Morgan Securities had obtained against the breakaway advisors has been lifted.
August 24, 2021
As RIA Arbitration Cases Climb, It's Time to Lawyer UpCustomer complaints should be taken seriously and responses crafted with professional guidance.
August 24, 2021
FINRA Fines Ex-Raymond James Rep Who Impersonated ClientThe rep, now with Ameriprise, allegedly pretended to be his client on a phone call with an annuity company, FINRA says.
August 24, 2021
Skip Schweiss Lands a CEO GigThe FPA president and ex-TD Ameritrade exec is leading the Sierra Group of Companies as it grows in the advisor space.