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Other than satisfying important regulatory requirements, RIAs and their clients can exercise a lot of choice on costs. Here's how experts view the process.
June 17 -
George "Keith" Demetriades was accused of violating nonsolicitation clauses and misappropriating trade secrets after leaving for an RIA in 2023.
June 17 -
Now at Wells Fargo, Matthew McCrea is accused of violating a nonsolicitation agreement he signed at JPMorgan. The suit echoes allegations JPMorgan made days earlier against a broker now at Morgan Stanley.
June 16 -
The industry watchdog is walking away from more than a dozen regulatory reforms that had drawn staunch opposition from advisors and industry groups.
June 13 -
The fintech and nonprofit join others, including AARP and the ICBA, in working to raise awareness of the financial risks of Alzheimer's and dementia.
June 13 -
In February, the organization released its "Generative AI Ethics Guide," which may be updated based on the group's findings.
June 13 -
An advisory panel has recommended changes that would bring arbitration rules for RIAs into line with those now governing FINRA proceedings for broker-dealers. The proposal still has to get through the SEC.
June 12 -
Amid a broad deregulatory push, industry watchdogs are seeking to lower barriers that now limit many alternative investment products to so-called accredited investors.
June 11 -
The impact of President Trump's push against diversity, equity and inclusion programs at the SEC remains murky, according to a watchdog report.
June 11 -
They must file the lengthy and highly specific Form ADV document with the SEC and state-level agencies. And that's just one aspect of the many strategic decisions.
June 10 -
State regulators accused LPL Financial, Edward Jones, Stifel, RBC and TD Ameritrade of charging their clients unreasonably high and unfair commissions on 1.12 million equity trades over a five-year period.
June 10 -
Laura Sullivan stands accused of accessing confidential customer data and violating a nonsolicitation agreement by bringing along at least 15 client households.
June 9 -
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 -
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 -
Randy Anderson worked as a broker for nearly 25 years without a complaint before being accused of making unauthorized trades by a client who, his lawyer says, actually ended up saving money.
June 5 -
Investor advocates and others worry that recent changes to who can serve on FINRA panels will exclude arbitrators most likely to be sympathetic to ordinary investors.
June 4 -
Experts say that there are pitfalls, rules and procedures that departing financial advisors should know. Problem is, too many act first and consult lawyers later.
June 3 -
One sector that the bill is particularly positive for is real estate, experts say.
June 3 -
The dome of the U.S. Capitol Building in Washington, D.C., is reflected upside down in a puddle outside of the structure
June 2 -
Expanded 529 plans and pass-through deductions are a boon for the wealth management industry, but the sweeping tax bill comes with its challenges.
May 29