Ex-NYLife Rep Gets 11-Year Prison Sentence for Stealing $1M From Client
By Jeff BermanHe spent the money on items including a BMW, Rolex watches, guns and child support payments, according to the DOJ.
February 04, 2022
TD Ameritrade Reps Can Now Advise Clients on Schwab ProductsTD Ameritrade reps have been trained to enroll clients in Schwab solutions and get paid on those solutions.
February 04, 2022
Cathie Wood's New Fund Targets Illiquid Assets, Limits ExitsThe closed-end ARK Venture Fund is focused on "disruptive innovation" in harder-to-trade assets, including private companies.
February 03, 2022
Strong Annuity Sales Buoy Lincoln Financial ResultsRevenue and earnings increased in spite of a sobering group life loss ratio.
February 03, 2022
Annuity Group Sues DOL Over Fiduciary RuleFACC says the department has tried to put a major rule change in an introduction.
February 03, 2022
Wall Street Bonus Rules Should Be Revisited at Fed: RaskinSarah Bloom Raskin is keen to revisit sweeping limits on bonuses if confirmed to be the Federal Reserve's top banking watchdog.
February 03, 2022
SEC Sets Vote on Cyber Rules for AdvisorsThe meeting will also address shorter settlement cycles, a discussion prompted by the meme stock frenzy.
February 03, 2022
MaxMyInterest Boosts Offerings for Envestnet, Tamarac Users: Tech RoundupAlso, WisdomTree unveils a new digital wallet, WisdomTree Prime.