Kentucky Advisor Fined Over Bourbon-Tasting Business
By Dinah Wisenberg BrinThe advisor didn't get written approval from Edward Jones but firm members attended a tasting, according to FINRA.
October 31, 2024
Help Clients Navigate Common Medicare PitfallsThe Medicare open enrollment season is a great time to help clients review their coverage.
October 30, 2024
SEC Hit These 6 Firms With Reg BI Fines in 2024The SEC cracked down this year after industry complaints that FINRA was taking the lead.
October 30, 2024
8 Ivy League Colleges' Endowment Returns, Ranked: 2024The elite schools' average 8.3% return on investments was a significant improvement over last year's average 2.3% gain.
October 30, 2024
Cetera Launches Regulatory Risk-O-MeterThe new resource is designed to help advisors measure and navigate developing regulatory risks.
October 30, 2024
UBS Wants to Buy a U.S. Wealth Manager: ChairmanThe firm is the biggest global wealth manager but lags its peers in the U.S., where it has struggled to scale its business model.
October 30, 2024
America's 15 Youngest Billionaires: Forbes, 2024Only 26 billionaires on this year's list, with membership taking a record $3.3 billion, are younger than 50.
October 30, 2024
BlackRock in Advanced Talks to Buy Private-Credit Firm HPSThe deal would leave BlackRock, which managed $11.5 trillion as of Sept. 30, with more than $500 billion in alternative assets.