SEC Charges Pastor-Turned-Advisor With $2.4M Fraud
By Dinah Wisenberg BrinThe former advisor sold phony promissory notes to Christian clients, the SEC alleges.
September 12, 2024
Lawsuit: Schwab Let Scammers Drain Life Savings of 91-Year-Old CustomerSchwab ignored red flags and its own elder financial abuse guidance, the federal lawsuit alleges.
September 12, 2024
SEC Investor Advisory Committee Gets New Members, Tees Up 'Best Interest' DebateA panel will discuss when financial professionals are "investment advice fiduciaries"; six new members joined the committee.
September 12, 2024
Industry Groups Cheer T+1 as a SuccessFirms can now "make better use of their capital while promoting financial stability," SIFMA, ICI and DTC say.
September 12, 2024
Meet the Luminaries Class of 2024 FinalistsFountainbleu / Las Vegas, NV / December 11. 2024
September 11, 2024
FP Alpha Adds Automation Features to Estate Lab PlatformThe updates are timely in light of upcoming tax changes, CEO Andrew Altfest says.
September 11, 2024
Ex-LPL Rep Forged Client Signatures: FINRAThe broker falsely attested that he had not signed another person's signature on a document, FINRA says.
September 11, 2024
Ex-Thrivent Exec Launches an RIA RoundtableCarolyn Armitage's member-based organization, RIA Circle, brings together advisors to share ideas and best practices.