More about InVest: As new digital tools transform wealth management, the industry’s largest players are rushing to adapt to ever-increasing customer expectations, while smaller firms strive to keep pace. Behind the scenes, many are investing more on technology and hiring to drive growth, but margins remain under pressure. In|Vest West is exploring all the dynamics at play — from front to back office — and the technologies that are shaping the future of the firm.
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A FINRA settlement accuses the firm of failing to supervise a broker who recommended frequent purchases and then resales of various investment products.
September 13
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Al Kushner is a leading expert in Medicare and the author of the award-winning book "Virtual Medicare — 10 Costly Mistakes You Can't Afford to Make." He has worked closely with accountants, helping them guide their clients through the complexities of Medicare. Reach him at (888) 810-9725 or
media@virtualmedi.care .September 13
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Darren Tedesco is co-founder and president of
Advisor360° , a leading provider of integrated technology for wealth management firms, where he is responsible for guiding the vision of the platform, technology strategy and company direction.He began his career at Commonwealth Financial Network in 1994, starting as a member of the finance team and transitioning to the company's technology department in 2000, where he became managing principal of innovation and strategy. He received his MBA from Bryant University and holds a B.S. from the University of Connecticut.
September 13
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The proposed changes, including to brokers' "payment for order flow" practices, laregly come in response to frenzied trading in so-called meme stocks.
September 13
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Former NFL star and UBS Head of Sports and Entertainment Adewale Ogunleye said professional athletes tend to prefer female advisors for whom "male ego" does not get in the way.
September 12
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While the Auto IRA Act of 2024 is "long overdue" for some, others feel it represents the "nanny state."
September 12
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The "reverse churning" case highlights the regulatory gap investors can fall into when moving between brokerage and advisory relationships.
September 12
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Advisors can guide clients on taxes, financing, buying versus leasing and how to boost their negotiating power.
September 12
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Michael Poveda is a partner at
UHY who has over 24 years of professional experience providing accounting, assurance and advisory services to clients in various industries. He advises clients on important issues and trends impacting businesses, including complex financial reporting matters, structured transactions, risk management and performance improvement. His areas of expertise include SEC, U.S. GAAP and IFRS reporting, internal controls, risk management, corporate finance and governance.September 12
