Pennsylvania Advisor Sentenced To 5 Years For $7M Scheme

Aug 10, 2022

Lee Weiss previously pleaded guilty to investment advisor fraud related to a Ponzi-like scheme involving his firm Family Endowment Partners.

NASAA Extends Comment Period on Nontraded REITs Guidance

Aug 09, 2022

While representatives of the Institute for Portfolio Alternatives warn of the proposal’s 'chilling effect' on brokers, state regulators are asking why REIT customer complaints remain elevated.

The Facts About Digital Marketing for Financial Advisors

Aug 09, 2022

Like it or not, you are in the digital space. Here’s how to start using it to your advantage.

What Crypto Regulators Can Learn From Biotech

Aug 09, 2022

If legislative action follows a blueprint established decades ago by the biotechnology industry, it can help fuel innovation and encourage continued adoption.

Cover Letters Are Crucial To the Hiring Process

Aug 09, 2022

At RIAs, they’re an indispensable way to find out more about potential hires than what’s just on a resume.

Wall Street Is Failing Women in Retirement

Aug 09, 2022

Efforts to address gender inequities in investing are falling short, largely because financial institutions still can’t shake old stereotypes.

Former LPL Rep Accused of Racism Sues the IBD for Taking Her Clients

Aug 05, 2022

Eileen Cure was terminated by LPL last summer after accusations of racism against Black job applicants. Now, she's suing the firm for almost $100 million, claiming it stole her clients illegally.

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Aug 05, 2022

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SEC Tells Advisors How to Address Conflicts of Interest

Aug 04, 2022

The SEC staff bulletin detailed instances in which firms may be required to disclose, mitigate and, if necessary, eliminate conflicts of interest to comply with the Regulation Best Interest rule.