-
Although it represents a big industry shift, it's not the end of the world, says former UBS advisor turned RIA owner Greg Hersch.
February 8
-
Josh Collins is president of NueSynergy, a company that provides clients with full-service administration of consumer-driven and traditional account-based plans as well as COBRA and payroll. He is responsible for sales, product development, partner integration, finance and technology. With close to a decade of experience in the healthcare and financial industries, Collins has helped develop and implement benefit account-based products and programs for health plans and employers nationwide that support their program and cost control objectives.
February 8 - Finance and investment-related court cases
The barred advisor and his brother defrauded a widow as part of a real estate investment scheme, according to federal prosecutors.
February 8
-
The proliferation of esoteric funds not easily understood by retail investors has created greater potential for damage.
February 8
-
The regulator proposed rule changes that will make it considerably more difficult for advisors to erase customer complaints from their disciplinary records.
February 8
-
Commission prioritizes retail investors as OCIE issues its must-read compliance letter.
February 8
-
In the latest clash after Morgan Stanley's exit from the Broker Protocol, the firm notched a win as the case heads to FINRA arbitration.
February 8
-
-
-
The bank's foray into personal financial-management software follows other online lenders.
February 8
