SEC to Restructure Regional Offices
By Nicola M. WhiteThe change impacts 10 locations and will become effective April 9.
April 02, 2025
Cerity Partners Adds $1.9B West Coast FinancialThe Santa Barbara-based RIA will enhance Cerity’s ability to deliver alternative investment offerings, including in real estate.
April 02, 2025
Ex-Morgan Stanley Advisor Sentenced to 12 Years in Fraud SchemeJesus Rodriguez of El Paso, Texas, spent clients' money on himself, including a Lamborghini purchase, authorities found.
April 02, 2025
Gary Shilling Says 'Hold Extra Cash' as Recession Is Near, Bear Market LikelyA recession could already be underway, Shilling said.
April 02, 2025
Life and Annuity Pros Need a Site Like BrokerCheck, Advocates SayConsumer advocates want the NAIC to run a site for checking the backgrounds of agents, navigators and others.
April 02, 2025
Cetera Taps Wealth.com Platform for Enhanced Estate PlanningThe move supplies Cetera’s 12,000 advisors with simplified and modernized legacy planning capabilities for their clients.
April 02, 2025
Republicans Eye $25,000 SALT Cap as Trump’s Tax Cuts Take ShapeThe plan, still being drafted, is said to include some of Trump's campaign pledges for new tax cuts.
April 02, 2025
Commonwealth Wins Reversal of $93M SEC Revenue Sharing PenaltyA court last year found Commonwealth liable for failing to disclose a mutual fund revenue-sharing pact.