California
Get the latest news and insights on California's financial regulations, enforcement actions and litigation.
Osaic Holds New HNW Event for Advisors
By Rob BurgessExecutive Joe Gaeckle says the firm created the three-day symposium for financial professionals already serving this market.
September 18, 2026
12 States With the Highest Incomes Needed to Join the 1%The income threshold to join this group varies dramatically by state, SmartAsset reports.
September 17, 2026
How Podcasting Can Pay Off for AdvisorsA conference panel notes the format's ability to reach clients and prospects, even with a modest audience, through patience and persistence.
September 17, 2026
How Founders Can Get Out of Their Own WayA panel of CEOs discussed how the people who built a company can avoid becoming the ones holding it back.
September 17, 2026
Ex-Broker Sentenced to 9 Years for Long-Running $9.5M Ponzi SchemeEdwin Emmett Lickiss Jr., 78, pleaded guilty earlier to wire fraud and money laundering.
September 14, 2026
12 Worst U.S. Cities for Retirement: 2026Out of 182 cities, these fall shortest on affordability, quality of life and healthcare, WalletHub finds.
September 02, 2026
Private Fund Advisors Busted in Ponzi-Like Scheme Against Retirees: SECMark Hanf and Hoai-Nam Chu Phan made material misrepresentations regarding the Pacific Fund and Freedom Fund, a complaint says.
September 02, 2026
Fake NFL Player, Phony Advisor Charged With Swindling at Least 26 Women: DOJA teenager posed as a financial advisor for the bogus San Francisco 49er, prosecutors say.