Cynthia Fernandez

With over 40 ESG ratings, 150 rankings and 450 indices, a lack of standardization and transparency means scores can vary depending on which company is providing the rating.

In a compliance case, the SEC accused LPL of failing to verify conflicting information when it opened a customer account and processed wire transfers.

For clients in their 60s, it’s crucial to have tough conversations about how they want to live out the remainder of their lives even if they become ill, Dr. Carolyn McClanahan said at a Morningstar Investment Conference panel.

Not having access to wealth keeps people from participating in the market and from financial inclusion, according to a FINRA panel.

From compliance to the Broker Protocol, advisors should understand their obligations and restrictions before they make a move.

Matthew Hougan, chief investment officer of Bitwise Asset Management, said investing in cryptocurrencies is like “investing in the internet in the late 1990s.”

The panelists said they’re still seeing a huge increase in merger and acquisition activity.

A comprehensive bill by U.S. Rep. John Larson would change how the COLA is calculated, increase income threshold amounts, the rate for inclusion of Social Security benefits and more.

The Social Security Administration found the asset reserves of both the OASI and DI Trust Funds in 2020 increased, but deficits still loom.

The Miami group is managed by Regional Executive Eric Termini and is part of Alex. Brown’s Atlantic region, which is led by Regional Director Brett Kellam.

Alexandria Capital is led by CEO Augustine Hong and CIO Jonathan Ferguson.

She was previously president of Ally Invest and, before that, a managing director at TD Ameritrade.

SmartAsset looked at nearly 11,000 financial advisory firms that are registered with the SEC and headquartered in the U.S.

The firms failed to update their cybersecurity policies immediately after client data was exposed.

Emerging markets have been shocked by recent regulation from the Chinese government and the coronavirus pandemic.

A report by the Center for Retirement Research at Boston College found that a jump in inflation could keep the COLA from meeting the rising costs that retirees face.

Each member of the four-person team is under 40 years old and they have a combined 40 years of professional experience.

Pay for industry professionals has increased much faster in some parts of the country than it has in others.

A legacy insurance institution has entered a placement agent agreement with cryptocurrency platform NYDIG.

New role will oversee leaders and businesses of Wells Fargo Advisors Financial Network (FiNet), First Clearing, and the Registered Investment Advisor (RIA) custody business.