'Antiquated' Financial Industry Leaves Millions of Americans Behind: Jason Wenk
By Jane Wollman RusoffGood financial advice is becoming more exclusive thanks to the entrenched interests of legacy firms, the Altruist CEO tells ThinkAdvisor.
October 01, 2021
LPL Failed to Vet Client, Allowed Fraudulent Wire Transfers: SECThe client misappropriated $3 million from a Puerto Rican city after opening an LPL account, the SEC says.
September 30, 2021
Peter Mallouk: Target Date Funds a 'Terrible Choice' for Most InvestorsThe Creative Planning CEO sparked a heated debate over the merits of this popular retirement investment.
September 30, 2021
Kitces: The 5 Trends Shaking Up the Advisor WorldA new wave of technological disruption is here, Michael Kitces says. What's an advisor to do?
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.