FINRA Suspends a Top Advisor for Cheating on CE Coursework
By Janet LevauxBruce K. Lee, formerly with Merrill and now with an RIA, had staffers complete his CE training for nearly four years.
October 24, 2019
SEC to Continue Private Funds Focus in 2020The Retail Strategy Task Force has been "very effective," says SEC's Adam Aderton.
October 24, 2019
Agents Beat Nonprofit Navigators: HealthCare.gov BossSeema Verma also talked about what would happen if a court strikes down the Affordable Care Act.
October 24, 2019
Secure Act May Get Senate Vote ThursdayMajority Leader Mitch McConnell has filed a motion for immediate consideration of the retirement bill.
October 24, 2019
Some Employers Are Setting Up ICHRA Programs: Take Command HealthThe HRA support services firm says many employers are asking about the cash-for-coverage concept.
October 24, 2019
Cambridge Nabs $2.5B Group: Recruiting RoundupMeanwhile, Stifel adds two Merrill reps, Raymond James picks up a Wells Fargo team, and Integrated Partners expands.
October 24, 2019
Industry's Gender Problem Is Bigger Than Ken Fisher: KrawcheckSallie Krawcheck warns that gender bias in financial services creates "ripple effects" in the broader economy.
October 23, 2019
Life Insurers Must Compete Harder With 'Passing the Hat': PrudentialPrudential cites a survey showing that one-sixth of young adults have helped with funeral crowdfunding.