SEC Bars Ex-Advisor Charged With Defrauding At Least 100 Clients
By Jeff BermanThe ex-Raymond James and Alliance Global Partners rep faced 37 client complaints in two years, according to FINRA.
January 07, 2022
F&G's Parent to Get New CEO: Personnel MovesVenerable has a new chief actuary, and Colonial Life has two new sales and marketing executives.
January 07, 2022
Broker Acquires Jason Lea's BGA: Distribution DealsIHC has turned itself into a Medicare plan distributor, and Hub has closed on three benefit firm acquisitions.
January 07, 2022
New CFP Board, FPA Leaders Assume Their RolesKamila Elliott is CFP Board's chair for 2022, the first Black American in this post; Dennis Moore is FPA president.
January 07, 2022
Regulators Aim to Curb Medicare Plan Lead-Generation FirmsCMS wants plan issuers to police third-party marketing organizations.
January 07, 2022
Ex-Advisor Pleads Guilty to Role in $9.3M Ponzi SchemeThe ex-advisor allegedly sold to clients investments misrepresented as annuities and secured notes with no risk of loss.
January 06, 2022
Number of Nasdaq Stocks Down 50% or More Nears RecordAt no other point since the dot-com bust have so many companies fallen like this while the index was near a peak.
January 06, 2022
Centene Becomes a Behavioral Health GiantThe insurer is now managing mental health care for 41 million people.