The settlement with the self-directed trading firm comes several weeks after FINRA's first enforcement action targeting firms' use of social media influencers.

The firm, which already works with individual investors, wants to build relationships across private wealth distribution channels.

The RIA platform partnered with Griffin Distribution to offer annuities, life, disability and long-term care insurance.

With a background in managing complex real estate portfolios, David Gottlieb joins Savvy for back-office support and improved services.

Firm employees sent and received “thousands” of off-channel business-related messages during the time in question, according to the SEC.

The court ruling concludes a legal fight with the commission that started in 2019.

The Pines Wealth Management will custody with Schwab and use Purshe Kaplan Sterling Investments for brokerage business.

Mutual funds experienced net inflows of $13 billion in February, according to Cerulli, but it was likely a blip rather than a turning point.

Cambridge has partnered with Hero CFO to bolster its financial reporting capabilities for wealthy clients.