LPL Nears $50M SEC Settlement Over Messaging App Use
By Janet LevauxThe IBD will join more than a dozen other firms that have paid fines over off-channel communications.
April 30, 2024
'Bitcoin Jesus' Charged With Evading Almost $50M in TaxesRoger Ver was also an early investor in crypto exchanges Blockchain.com and Kraken.
April 30, 2024
Sen. Warren Asks Insurers About Life and Annuity Sales IncentivesThe Massachusetts Democrat sent letters questioning the use of cash bonuses, incentive travel and other perks.
April 30, 2024
Millennials May Be Losing Life Insurance KnowledgeThe oldest are 44, and their guesses about term life costs are getting worse.
April 30, 2024
Golub Capital Aims to Grow Insurance BusinessThe firm helped Reinsurance Group of America form its Ruby Re sidecar vehicle.
April 30, 2024
IBD Channel Faces Exodus to RIAs: CerulliOf advisors thinking of going independent, only a fraction said they'd want to custody with their current BD.
April 30, 2024
RBC Capital Markets to Pay Nearly $800K Over Trade ConfirmationsThe firm sent 940,000 inaccurate trade confirmations to customers and failed to send millions more, according to FINRA.
April 30, 2024
Raymond James Is on a Recruiting Tear, Exec Says"We're in deep conversations with large teams, more than what we've seen historically," PCG President Scott Curtis says.