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Heartland issued a statement yesterday saying it was "extremely disappointed" that the SEC had revived a three-year-old case, and promising it will "vigorously contest these allegations."
A new annual compensation report by consulting firm Succession Resource Group explains how pay plans can boost — or detract from — the value of an RIA.
The RIA technology platform builds on its acquisition of AI-powered liability-optimization fintech Sora Finance last year.
Punitive damages, disclosures over employment terminations, the statute of limitations for bringing claims — FINRA is asking about it all in a series of more than 60 questions about revamps to its arbitration procedures.
A recent alert from the U.S. Securities and Exchange Commission flags ongoing compliance gaps in testimonials, endorsements and third-party ratings as scrutiny shifts to real-world practices.
Federal Judge David Nye sides with a broker fired over five years ago for placing trades without first obtaining his client's permission.
Research shows that many investors fear policy changes could hurt their retirements, but these concerns often go unspoken with financial advisors, creating a planning gap.
