Arizona-based advisor Richard Hoffman urged clients to invest with the "Michael Jordan of algorithmic cryptocurrency trading" but did not disclose the alleged Ponzi scheme agreed to give him up to $1.5 million in low...
The Keystone State is the 19th to pass a rule on annuity sales based on the National Association of Insurance Commissioners’ 2020 model rule. Wisconsin, North Carolina and Nevada look to follow soon.
CI’s deal with Corient Capital Partners comes as the Canadian firm released its 2021 Q4 earnings report, boasting significant gains through eight RIA acquisitions.
CEO David DeVoe said his firm launched the GrowthBuilder platform in response to a disquietingly slow rate of growth for the average advisory firm that is often masked by market performance.
A California federal court judge found Mark Boucher and his company Strategic Wealth Advisor Group Services liable for stealing for more than $2.2 million from clients.
The proposals would mandate that advisors craft written policies and procedures intended to address cyber risks that could harm clients, according to Chair Gary Gensler.
'The 2022 Report on FINRA’s Examination and Risk Monitoring Program' also looks at firms’ Form CRS compliance and approaches in working with clients via mobile apps.
James Iannazzo’s tirade in a Fairfield, Conn., smoothie shop was captured on video and viewed by millions. The CFP’s suspension comes after Iannazzo was arrested and charged by Fairfield police, and dropped by Merrill...