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Did a now-defunct IBD avoid FINRA financial judgments by transferring brokers and clients to another firm? Both PIABA and the FSI are weighing in on a case currently brewing in Georgia's federal appeals court.
Scott Kohn worked with a network of hundreds of financial advisors and insurance agents, several now barred by FINRA, as part of a scheme targeting seniors and veterans, the DOJ says.
With planning and strategizing, long-term investors can ride this downturn out, with the potential of positioning themselves advantageously once the market changes.
Matthew Jarvis rose from near bankruptcy to running a profitable independent financial advisory practice. He shares his story plus key teachings on extreme accountability, delivering massive value to clients, and more.
While most advisor advocacy organizations support the intention of the rule, some want to see a "materiality" standard incorporated into the requirements.
Right before advisor Larry Sprung was set to break away and launch his own firm, his brother-in-law, who had suffered from bipolar disorder, died by suicide. Now mental health awareness and suicide prevention are a major part of his life’s work.
