While advisors successfully transition out of non-Protocol firms each day, doing so comes with added risks. Attorney David Gehn, whose expertise is in representing advisors in transition from Protocol and non-Protocol firms alike, explores the...
The SEC found that the plan by NYSE Arca to list the product didn’t do enough to prevent fraud and manipulation.
The SEC argued the firm marketed and sold the 'YES' strategy to about 600 investors between February 2016 and 2017, without offering advisors adequate training and failing to communicate the potential risks.
FINRA released a report from independent counsel Lowenstein Sandler, concluding there was no agreement between Wells Fargo’s counsel and the regulator to exclude certain arbitrators.
The pandemic led to a boom in dating fraud. Banks and wealth managers are rushing to keep up.
The Treasury Department and the Internal Revenue Service are likely to push off a January date for the firms to begin tracking data such as customers’ capital gains and losses.
Advisor Vance Barse never had a relationship with his biological father and carried around a lot of emotional baggage as a result. But when his father passed away, he finally got the closure he needed. And that moment was life-changing.
Patrick Egan’s interim suspension went into effect on June 21. Egan is a representative with the California-based firm Western International Securities, which was also named in the SEC's complaint.
If you’re not talking with your clients about socially responsible investing, they’re going to find someone who will.
Jun 27, 2022
Voya Financial's Lori Commerford discusses how RPA aggregators can improve their client communication strategy.