SEC Investor Advisory Committee Gets New Members, Tees Up 'Best Interest' Debate
By Melanie WaddellA panel will discuss when financial professionals are "investment advice fiduciaries"; six new members joined the committee.
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.
September 11, 2024
Schwab Discriminated Against Pregnant Advisor: LawsuitThe former associate advisor says the firm failed to accomodate her need to take frequent breaks.
September 11, 2024
Congress Gets a Nudge on 'Too Big to Fail' Life InsurersOne possibility could be giving state regulators new powers, an in-house analyst suggests.
September 11, 2024
Social Security COLA Estimate for 2025 Drops Again to 2.5% on Cooler InflationAt that level, it would be the smallest increase for beneficiaries since 2021, Social Security expert Mary Johnson says.
September 10, 2024
Inside Edward Jones' Evolving Wealth StrategyA healthy culture is driving tech adoption and planning-first service at the firm, says Lena Haas.
September 10, 2024
T. Rowe Price, New York Life Caught Up in Data Breach Affecting 6M CustomersData from at least three other financial services firms was compromised in a 2023 ransomware attack at IMS.