LPL Failed to Vet Client, Allowed Fraudulent Wire Transfers: SEC
By Melanie WaddellThe client misappropriated $3 million from a Puerto Rican city after opening an LPL account, the SEC says.
September 30, 2021
Senator Warns SEC Chief Not to Crack Down on Trading AppsThe SEC's mission "does not extend to protecting investors from themselves," Sen. Pat Toomey writes.
September 30, 2021
6 Ways to Adapt Your Investment Offerings to the Digital AgeAs interest rates remain low and investors gravitate to tech platforms, advisors must evolve or die.
September 29, 2021
RIA Fined for Charging 81 Clients Without Providing ServicesThe clients stopped receiving advisory services after their original advisors left the firm, the SEC said.
September 29, 2021
DOJ, SEC Charge Ex-Advisor With Bilking 3 Older ClientsThe ex-broker used the money to pay for luxury cars, vacations, private school tuition and a gold necklace, according to the authorities.
September 29, 2021
Wells Fargo Pushes Back Return-to-Office Date, AgainThis is the fourth time the bank has switched its return-to-office date, after initially planning to bring workers back on Sept. 7.
September 29, 2021
How a CPA Partner Can Boost Your PracticeAdding tax services can help advisors stabilize income, increase cash flow and give their practice more flexibility.
September 29, 2021
The History of the Financial Planning Profession, Part 1Let's take a look at how the profession has evolved so we can better understand where it's going.