$100M Pension Scam Run by Ex-Con Hit With Lawsuits
By Melanie WaddellAn "eager and complicit network" of brokers and advisors made the scam possible, said attorney Joseph Peiffer.
August 22, 2018
SEC's Clayton Says Sales Contests Must Die"Main Street investors have no tolerance for certain questionable sales practices such as high-pressure, product-based sales contests," Clayton said Wednesday.
August 22, 2018
Sequoia Financial and LJPR Financial Advisors MergeThe new firm, which will retain the Sequoia name, will have close to $5 billion in AUM.
August 22, 2018
Investing View From the Advisory Frontlines: A Talk With Advisors, Part IWhat are the challenges advisors face in their businesses, from investing to compliance, and what are the biggest challenges in their practices?
August 21, 2018
JPMorgan Offers Free Trades as Fight for Retail Investors BuildsShares of TD Ameritrade, Charles Schwab decline after bank says it will offer 100 free trades in first year, free research.
August 21, 2018
8 Best RIA-Sold 529 Plans: Savingforcollege.comThese are the best-performing 529 funds sold through RIAs based on the three-year performance composite rankings.
August 20, 2018
HighTower CEO to Step Down, Become ChairmanThe move comes several months after private equity firm Thomas H. Lee Partners bought a stake in the RIA consolidator.
August 16, 2018
Galvin Charges BD With Making Short-Term Trades to Boost Commissions: EnforcementAlso, a pyramid scheme promoter targeting Latinos agreed to pay more than $1 million to the SEC.