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The network of five IBDs with 4,400 advisors hasn’t made a final decision, according to Bloomberg News.
October 30
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Two incidents brought predatory behavior into focus and sparked change at XYPN.
October 30
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Nicola Askham is a leading data governance training provider in the UK. She holds a unique level of experience in the data ggovernance field, and has experience in training and coaching major organisations to help them implement full data governance frameworks.Nicola has developed a powerful methodology for implementing data governance based on over 13 years of experience and research into best practices. Her methodology breaks down the data governance initiative into logical steps, which ensures that businesses design and implement a data governance framework that is right for them.Nicola initially worked for a leading UK Bank, and moved into consultancy in 2009. Nicola has worked with clients in a number of different industries including financial services, defense, utilities and retail.Nicola is a director and committee member of DAMA UK, and regularly writes and presents internationally on data governance best practices.
October 30
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Although the elderly often lose the most from scams, younger clients are more likely to fall victim, according to a report.
October 29
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A closed-end fund can provide a steady income stream for clients, but advisors often make misleading assumptions about the regularity of monthly distributions. Here’s what to watch for.
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The regulator was allegedly inquiring about whether incentives at an firm unit rewarded salespeople for pitching higher-cost products.
October 29
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Shareholder and Director of Audit and Attestation Services
Hartmann, Blackmon & Kilgore, P.C.October 29
