Broker Impersonated Clients and Supervisor 30 Times: FINRA
By Jeff BermanThe ex-Northwestern Mutual rep was suspended and fined by the regulator for posing as others on phone calls.
August 11, 2020
Long-Term Care Insurance Stays Near Top of State Worry ListRace, artificial intelligence and COVID-19 are also getting the NAIC's attention.
August 11, 2020
Gundlach Sees Trump Win, Short-Term Market 'Reversals'Biden's vice presidential pick, Kamala Harris, is "too charismatic," says the DoubleLine Capital CEO.
August 11, 2020
How Merrill Is Boosting Its 'Elite' AdvisorsMerrill exec Nilesh Parikh tells ThinkAdvisor about the new Elite Practice Growth program, parts of which are open to all Merrill advisors.
August 11, 2020
Symetra Adds Annuities With Built-In GuaranteesThe new contracts feature an index from Putnam.
August 11, 2020
Bloomberg Launches Its Own ESG ScoresThe initial rollout includes environmental and social scores for 252 oil and gas companies, and board composition scores for 4,300 firms.
August 11, 2020
Hightower Invests in $600M Texas RIAThe latest deal is the RIA aggregator's fifth this year and comes two weeks after it bought part of a $3.3 billion Dallas-based group.
August 11, 2020
Creative Planning Scoops Up $600M RIA in CincinnatiThe news comes on the heels of its purchase of Thun Financial Advisors, a $600 million group in Madison, Wisconsin.