Cetera Names New Head of Indie Advisor Channel
By Jeff BermanTom Halloran, Cetera Wealth Partners president, will replace Brett Harrison, who is leaving after over 25 years.
September 22, 2023
Altruist Ends Portfolio Software Fee for AdvisorsThe custodian had been charging a monthly portfolio accounting fee of $1 per brokerage account.
September 22, 2023
15 Best Cities for Financial Security in RetirementOlder adults in these cities experience less poverty and higher rates of homeownership, according to SmartAsset.
September 22, 2023
TD Ameritrade Sued Again Over MOVEit Data BreachThe brokerage was negligent in using the MOVEit software despite security vulnerabilities, the plaintiff argues.
September 22, 2023
SEC Hits Wisconsin BD With Reg BI FineThe firm's policies and procedures contained Reg BI language but weren't tailored to its business, the SEC said.
September 22, 2023
Goldman Sent Inaccurate Data to the SEC on 163M TradesThe bank agreed to pay a $6 million fine.
September 22, 2023
5 Broker Behaviors That Should Raise a Red FlagFINRA is warning investors to be wary of certain behaviors by their brokers that can signal likely misconduct.
September 22, 2023
10 Insurance Sales Success StrategiesThere are all sorts of new tricks, and then there are the techniques that work.