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Laura Sullivan stands accused of accessing confidential customer data and violating a nonsolicitation agreement by bringing along at least 15 client households.
9h ago -
A softening stance from the Trump administration could lead to a rise in the availability of cryptocurrency investments in 401(k)s. While some plan sponsors are considering crypto, they emphasize that investor demand will play a significant role in their decisions.
10h ago -
With concerns about compliance and client connections, some financial advisors find that double-checking AI can negate the time savings they're hoping for.
11h ago -
Wealth.com has built a client roster of more than 1,000 wealth management firms and several big-name backers. Now it's launching a yearly industry event.
11h ago -
A unique mutual fund type is gaining ground with advisors, according to the FPA's newest survey. Advisors say the data points to a broader trend of planners shifting away from investment management.
June 6 -
By far the most significant factor behind the jump in this month's Financial Advisor Confidence Outlook (FACO) was the outlook for the overall economy.
June 6 -
Finding the right time to launch a registered investment advisory firm and the importance of building lasting client connections all play into advisor success.
June 6 -
LPL Financial also pulls an advisory team from RBC, and Cetera hires a chief fiduciary officer for its trust subsidiary.
June 6 -
Retired investor Tracy Driver alleges he was encouraged to put millions into a now delisted media company and then lost more through unauthorized sales of "prized" shares in Nvidia, Microsoft and Alphabet.
June 5 -
Advisors who have experience with these ETFs say they can offer an easy, secure entry point for investors. However, choosing the right one requires further discretion and research.
June 5