RIA Wins $347K Arb Award From Schwab
By Jeff BermanLaguna Financial Group and its owner argued that the custodial firm assisted a rival.
August 08, 2019
How to Avoid a Tax Audit When Moving to a Lower-Tax StateIf you're a financial advisor whose client wants to move, be warned: The state may be watching.
August 08, 2019
FINRA Launches Reg BI Webpage, Plans WorkshopsThe BD regulator is also urging broker-dealers to submit questions to the SEC about Reg BI and Form CRS.
August 08, 2019
Stifel, LPL Nab Wirehouse Reps: Recruiting RoundupMeanwhile, Carson Group welcomes an eight-member team in Northern California.
August 07, 2019
Report Shows Where Insurance Departments' Money Goes...The report also shows how many people they employ, what staffers earn, and where the money comes from.
August 07, 2019
Integrity Marketing Makes a New Deal in TexasSenior Insurance Brokers sells life insurance, annuities, Medicare plans, and long-term care insurance.
August 07, 2019
Senate Democrats Warn Against Capital Gains Tax CutThe White House is mulling a plan to circumvent Congress and index capital gains rates to inflation.