FINRA Fines Citigroup for Inadequate Background Checks
By Melanie WaddellThe firm failed to conduct proper checks on 10,400 non-registered persons and failed to fingerprint 520 of them, FINRA says.
July 26, 2019
Torchmark to Change Its Name to Globe LifeThe company will also be the Dallas Cowboys' life insurance partner.
July 26, 2019
3 Strategic Plays That May Boost LPL's Growth: CEOThe independent broker-dealer shares details on its latest programs for advisors.
July 26, 2019
State Fiduciary Rules on a 'Collision Course' With Reg BI: LawyersAs the comment period on Massachusetts' fiduciary plan closed, SIFMA urged the state to let Reg BI "be fully implemented before moving forward."
July 26, 2019
Hedge Funds Taking Up ESG Movement: SurveyGovernance is the most used criterion a growing number of alternative funds use for screening both long and short positions.
July 26, 2019
How Will Schwab's USAA Deal Affect Advisors?Michael Kitces, Chip Roame, Jeff Levine and Jon Henschen weigh in on the $1.8 billion purchase.
July 26, 2019
The Second Quarter Was, Actually, OK: Life and Health ExecsAmeriprise, Torchmark, Centene and Anthem have all posted decent earnings.
July 26, 2019
Real Estate Pros Expect Next Recession in 2020: Zillow SurveyA housing slowdown will not be a big factor in causing the next downturn, they predicted.