When Clients Consider You 'One of the Family'
By Bryce SandersAs anyone with a family knows, there are pros and cons to such close relationships.
July 02, 2024
Advisor Suspended Over Retiree's Ex-Wife Draining IRABMO Harris "warned specifically against accepting orders from an account owner's spouse," FINRA says.
July 02, 2024
RBC to Pay $75K for Excessive Sales ChargesRBC failed to provide mutual fund sales charge waivers and fee rebates, FINRA said.
July 02, 2024
6 New Social Security Bills in Congress NowOne bill would eliminate taxes on benefits; another could fast-track cuts.
July 02, 2024
Only a Bear-Market 'Shock' Can Upend Tech: JPMorgan's KellyIt would take an extreme blow to market sentiment to derail the flow of cash into the Big Tech names soaring in 2024, the strategist says.
July 02, 2024
BNY Grabs Nuveen CEO as Its New Head of Wealth and InvestmentsJose Minaya will join in September, taking over from Hanneke Smits, who will retire.
July 02, 2024
New SEC RILA Rules Accentuate the Negative, Commissioner SaysRegistering new products will get easier, but the required notices could scare off investors, Hester Peirce warns.
July 02, 2024
Why Bitcoin Hasn't Hit $100K Yet, and Why That Doesn't Spell DoomYes, there is a big short position out there, but it's because hedge fund managers are very smart people.