Orion Hires Industry Veteran as New EVP of Sales: Tech Roundup
By Jeff BermanAlso, Fidelity acquired software firm Shoobx; Broadridge extends its digital wealth platform partnership with IGM Financial.
January 19, 2023
Usain Bolt Lost $12 Million in Savings to a ScamThe Olympic gold medal winner was recently told there was just $12,000 left in one of his investment accounts.
January 19, 2023
Commonwealth Picks Up $1B Team From Edward JonesCedarwood Financial Partners has five offices in Texas and New York.
January 18, 2023
FINRA 'Ready to Act' if SEC Finalizes Best-Execution Rules: CEOEnsuring regulatory clarity on evolving best execution standards is a top priority for 2023, FINRA's Robert Cook says.
January 18, 2023
Trust Company Fined Over 12b-1 FeesThe company failed to adequately disclose in marketing materials its receipt of 12b-1 fees, the SEC says.
January 18, 2023
FINRA: Ex-Advisor Group Broker Lied About CBD Oil Side HustleThe former broker for Advisor Group's Woodbury Financial allegedly provided false info about her unapproved CBD oil businesses.
January 18, 2023
BofA Freezes Most HiringThe bank will hold off on adding new workers in some business units until at least mid-year or signs of an economic turnaround.
January 18, 2023
Wave of Tax-Hike Bills to Debut in Statehouses ThursdayLawmakers in seven states plan to propose tax hikes on the wealthy, including taxes on unrealized capital gains.