Ex-LPL Rep Suspended for Making 22 Trades Without Written Consent
By Jeff BermanThe broker also falsely stated he didn't exercise discretionary trading authority in three compliance questionnaires, FINRA says.
October 25, 2021
Advisors Blast Democrats' Billionaire Tax Plan"This is lunacy!" one advisor tweeted, while others predicted a tax on unrealized gains would be challenged in court.
October 25, 2021
Lacrecia Cade to Lead Atlanta LifeShe was previously a brand and strategy executive at Aflac.
October 25, 2021
Democrats Draw Up Billionaire-Tax Plan as Corporate Hike FadesSenate Finance Committee Chair Ron Wyden plans to unveil a new tax on the unrealized capital gains of the ultra wealthy this week.
October 22, 2021
Orion Buys Compliance and Risk Management FirmThe acquisition, which closed on Friday, 'complements' what Orion has been doing in the compliance space, T3 head Joel Bruckenstein says.
October 22, 2021
Georgette Nicholas Now President of American Life's Parent: Personnel MovesVida Capital has a new CEO, and Medical Mutual will be getting one.
October 22, 2021
Kitces: Schwab 'Declaring War on Funds' With Direct Indexing PlatformMichael Kitces' remark touched off a debate among advisors on the pros and cons of direct indexing.
October 22, 2021
Goldman: Stocks Will Keep Climbing Because There Is No AlternativeCash rates are zero, bond yields are often lower than stock dividend yields and bond spreads are set to widen.