Ex-LPL Broker Suspended for Teaching Online Courses
By Jeff BermanThe former broker had five outside business activities without LPL's approval according to FINRA.
July 25, 2023
MassMutual's Digital Agency Makes Distribution DealsOne of the new relationships is with Policygenius.
July 25, 2023
Prudential Picks Somerset Re to Reinsure $12.5B in Life PoliciesPrudential said it will continue to service the policies.
July 25, 2023
UBS to Pay $387M in Credit Suisse-Linked Archegos FinesUBS previously warned that legal liabilities related to Credit Suisse could run to $4 billion over 12 months.
July 25, 2023
Jon Henschen, Veteran IBD Recruiter, Dies at 64The owner of independent BD and RIA recruiting firm Henschen & Associates passed away early this month.
July 25, 2023
GAO to DOL: Pay More Attention to 403(b) PlansThe report could also boost efforts to apply a fiduciary rule to non-ERISA 403(b) plans.
July 24, 2023
Advisor Fights SEC in Annuity Switching CaseJeffrey Cutter didn't violate the Advisers Act because he was acting as an insurance agent, his lawyers argue.
July 24, 2023
SEC to Vote Wednesday on Digital Nudges, Robo PlansThe agency plans to consider a plan to propose rules for RIAs and BDs on predictive data analytics.