Twin Advisors Indicted on Fraud Charges
By Jeff BermanAdam and Daniel Kaplan are accused of bilking at least 60 clients out of at least $5 million.
July 27, 2023
Don't Forget This CE Requirement, FINRA WarnsRegistered representatives need to complete the Regulatory Element course this year or face "CE inactive" status.
July 27, 2023
LPL Taps New Exec From GoogleAlthea Brown will join the firm in September, replacing Chief Legal Officer Michelle Oroschakoff, who is retiring this fall.
July 27, 2023
Northwestern Mutual and DWS Raise $500M for Private Equity FundThe fund gives other institutional investors a chance to invest in the kinds of private equity that Northwestern Mutual puts in its own general account.
July 27, 2023
New Bill Allows Auto-Reenrollment in Retirement PlansPlan sponsors would be able to reenroll non-participants at least once every three years.
July 27, 2023
AdvicePay Names New CEOAlex Sauickie succeeds co-founder Alan Moore; he is a veteran fintech exec and a New Jersey assemblyman.
July 26, 2023
Hunter Biden's Plea Deal on Tax Charges in LimboA hearing over the plea agreement tied to misdemeanor tax crimes and a firearm violation ended on Wednesday without resolution.
July 26, 2023
Life Insurers Kept Selling More Fixed Annuities in Q2The products help clients insure their income and increase issuers' exposure to guarantee risk.