Ex-Wells Fargo Executives Face Millions in Fines for Misconduct
By Katanga JohnsonA 2020 investigation by the OCC concluded that the executives opened millions of unauthorized customer accounts.
January 14, 2025
FP Alpha Releases Standalone Tax ServiceThe offering helps advisors optimize charitable giving, Roth conversions and other tax strategies.
January 14, 2025
Ex-Intern Waged Smear Campaign Against Raymond James, Suit AllegesPhony email campaigns suggested two employees were convicted rapists with neo-Nazi ties, the firm's defamation suit says.
January 14, 2025
Advisor360 Acquires Generative AI Tech DeveloperThe acquisition of Boston-based Parrot AI enables advisors to record, transcribe and summarize meetings.
January 14, 2025
Share of Advisors Using Crypto Doubled in 2024: SurveyTwenty-two percent of survey respondents said that they had allocated to digital currency in client accounts.
January 14, 2025
IRS Releases Roth Catch-Up GuidanceNewly proposed regulations answer some major questions created by Secure 2.0.
January 13, 2025
Jeremy Siegel: Beware of 'Overly Optimistic' Growth ExpectationsA market correction is possible as investors adjust to more moderate returns, the Wharton economist says.
January 13, 2025
Robinhood to Pay $45M to Settle SEC ClaimsRobinhood "failed to observe a broad array of significant regulatory requirements," the SEC says.