FPA Taps President-Elect, Board Members
By Janet LevauxClaudia Cypher Kane is the group's 2024 president, while Paul Brahim of Wealth Enhancement Group is set to become its president elect.
September 26, 2023
SEC Charges Firm With Inflating AUM on Form ADVVista Financial Advisors repeatedly failed to corroborate its asset levels, the SEC said.
September 25, 2023
Schwab Call Center Woes Plague RIAs After TD Ameritrade Move"I can tell you the company line from Schwab is very misleading," one advisor said.
September 25, 2023
SEC Fines Firm $1M Over Marketing Rule ViolationsWellesley Asset Management made material misstatements and omissions in marketing materials about a bond index it created.
September 22, 2023
Altruist Ends Portfolio Software Fee for AdvisorsThe 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 21, 2023
LPL Expands Succession Planning Program to Advisors Outside the FirmThe firm's Liquidity & Succession offering allows advisors to sell their practice while maintaining their brand, it says.
September 20, 2023
Why XYPN Ended Its Tax Service for AdvisorsThe firm "couldn't find a way to make the economic model work" despite demand, CEO Alan Moore said.