FINRA Bars Ex-Broker Whose Assistant Took CE Classes for Him
By Jeff BermanThe former HTK rep testified that he "blindly forwarded" emails about the training to his assistant due to heavy sales demands.
July 06, 2021
Haven Life Adds Rapid Underwriting Term LifeOne deal could tie returns to saving for the children's future.
July 06, 2021
RGA Arm Unveils Reinsurance Treaty Management SystemThe firm's parent has completed an annuity reinsurancwhe deal.
July 02, 2021
No Surprises Act Regs Leave Out Broker Comp Disclosure RegsThe emergency care regs that were posted create a definition of emergency care that includes many post-stabilization services.
July 02, 2021
Focus Financial to Add $3B in AUM With 3 New AcquisitionsThe RIA aggregator added teams in Arizona, Maryland and New York.
July 02, 2021
Vanguard's Quant Equity Group Losing 2 Key ManagersJames Stetler is retiring after 39 years; Binbin Guo is leaving after 14 years.
July 02, 2021
Gerber Kawasaki Wealth Launches Active ETF: Portfolio ProductsPortfolio manager Ross Gerber welcomes investor and analyst feedback via monthly Zoom meetings.
July 02, 2021
Financial Advice From a Bank? Customers Who Take It Love ItBank customers are unlikely to seek advice but most will follow it when they receive it, J.D. Power finds.