Investment Platforms
Get the latest news and insights on investment platforms (including digital, mobile and online platforms), and how these developments impact financial advisors, the wealth management industry and more.
Webull Fined $500K for Lack of Compliance Team
By Ryan W. NealAt times, the firm had only one compliance employee for hundreds of thousands of accounts, state regulators said.
November 01, 2023
Schwab Layoffs of 2,000 Have BegunThe firm says it's cutting 5%-6% of its workforce, which totaled 35,900 on Sept. 30.
October 30, 2023
New York Life Launches Hybrid Digital-Advisor Tool for Small AccountsEagle Strategies Prosper Portfolios use ETFs and have a $5,000 minimum.
October 30, 2023
LUMINARIES 2023 Finalists: Executive Leadership — FirmsThese broker-dealers, RIAs and other financial services groups are making a difference through their unique initiatives.
October 30, 2023
LUMINARIES 2023 Finalists: Executive Leadership — Individuals, Group 1Here's how executives at BDs, consulting and educational groups and financial technology firms are changing the industry.
October 30, 2023
LUMINARIES 2023 Finalists: Community Impact — FirmsHere's how broker-dealers, RIAs and other financial-services groups are making a difference — locally and nationwide.
October 25, 2023
TD Ameritrade Customers Report Trading Platform Glitches"Markets tanking & the TD Ameritrade app is down," one user complained on X.
October 25, 2023
Fintech Firm CAIS Launches Alternative Investment PlatformThe web-hosted software was designed to centralize and streamline fund workflows for advisors.