FINRA Plans New Rules for Bad Brokers
By Melanie WaddellHow to deal with firms and brokers with a lot of black marks on their records has occupied a lot of FINRA board and policy discussions.
March 19, 2019
Former NBA Star Chuck Person Pleads Guilty in NCAA Bribery SchemePerson admitted taking bribes to steer college players to a certain financial advisor after they had turned professional.
March 19, 2019
HD Vest Parent to Acquire 1st GlobalThe deal unites tax-minded advisors and could create an IBD with 4,500 reps and $60 billion in assets.
March 18, 2019
Medicaid Squeeze Hurts Nursing Home Quality: WitnessesLow Medicaid reimbursement rates for nursing homes are hurting the quality of care, by keeping operators from offering high enough wages to attract…
March 18, 2019
Chuck Ritzke to Lead ICMGRitzke has worked for companies such as Zurich Life and Bankers Life and Casualty.
March 18, 2019
Pension Risk Transfer Volume Blows Past ForecastsA MetLife executive predicted in June that employers could shift $20 billion in risk.
March 18, 2019
Kitces: Is Technology Really Helping Advisors?A survey by Michael Kitces breaks down the advisor work week and uncovers some interesting results.
March 18, 2019
Nevada Fiduciary Rule Would Scare Off Morgan Stanley, TD AmeritradeThe two firms say they would have to stop serving brokerage customers in the state if the rule is adopted as written.