FINRA Fines Canadian Firm For Reg BI Violations

Nov 14, 2023

Haywood USA failed to do due diligence for approximately 134 sales recommendations of private placement offerings totaling nearly $11 million, breaking FINRA rules and violating the SEC's care obligations.

Adjusted for Risk: Uncovering the Expectations of Millennial Investors

Nov 13, 2023

Van Leeuwen & Company's Jeff Mattonelli discusses ways to connect with the generation that relies on non-traditional sources to get their investment ideas and data.

Putting Your Clients’ Interests First

Nov 10, 2023

Adopting an advice-centric engagement model places the decision-making authority squarely in the hands of those with the most vested interest—the clients themselves.

FINRA Fines Firm For Omitting Disciplinary Disclosures on Form CRS

Nov 09, 2023

Parsonex Capital Markets failed to tell clients that several of its reps and one of its affiliated firms had checkered regulatory histories, according to FINRA.

Mindy Diamond on Independence: $3B Former UBS Advisor Finds His New Edge

Nov 09, 2023

Ghislain Gouraige, a 15-year UBS veteran and former leader of the firm’s Private Wealth Advisory Council, talks about what led him down the path to leave the wirehouse and build NewEdge Wealth with colleague Rob Sechan.

CFP Board Begins Publishing Detailed Disciplinary Details

Nov 09, 2023

The Board’s Disciplinary and Ethics Commission previously released anonymized iterations of its public sanctions, but starting today the Board will make the actual orders available to the public.

WealthManagement EDGE Podcast: Toussaint Bailey on Unlocked Profit in Impactful Wealth Management

Nov 09, 2023

Turning visions of impact investing into actionable and profitable solutions.

SEC Rule to Speed Trades Puts $1T of ETFs at Risk

Nov 08, 2023

The industry pros who keep America’s $7.3 trillion exchange-traded fund market humming are warning that the settlement shift next May spells trouble for more than 500 US-listed funds that hold overseas assets

How Technology Can Help Clients ‘Befriend Their Future Selves’

Nov 08, 2023

Shaping Wealth’s inaugural BeFi Summit sought to help advisors create meaningful connections between who clients are and who they wish to be.