FINRA Fines, Suspends Ex-Rep Over Texting, Unauthorized Trades
By Melanie WaddellJoseph Warner Rozof made discretionary trades in clients' accounts and texted about transactions, according to FINRA.
August 30, 2025
4 Myths About Bank-and Company-Owned Life InsuranceA BOLI and COLI market veteran aims to clear the fog.
August 30, 2025
Docupace Unveils AI Roadmap for Wealth ManagementFirms that embrace intelligent automation will lead the next decade’s competition, according to the software provider.
August 30, 2025
Prior Authorization Is Coming to Traditional MedicareProviders in some states will have to show why they are offering patients certain kinds of care.
August 29, 2025
Wells Fargo Adds Alternatives to Personalized UMAsThe move allows clients to hold traditional and alternative investments in one account, the bank says.
August 29, 2025
Vanguard, Empower to Pay $25M Over Failures Tied to Advisor CompensationThe two firms failed to disclose conflicts in connection with their managed account programs, the SEC says.
August 29, 2025
9 Ways to Unlock the Greatest Advisor SuperpowerWell-timed questions can build trust faster than any polished presentation, revealing clients' fears and their dreams.
August 29, 2025
California Wealth Planning Execs Die in Plane CrashMark and Vickie Spelts of Chico perished Wednesday near Kansas City.