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Despite industry criticism, the regulator’s ongoing wave of cases has expanded into allegations that wealth managers breached their duty of best execution.
March 3
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Heather von Zuben is one of a small number of Latina executives on Wall Street.
March 3
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The firm and a former rep recommended a course of actions that helped the wirehouse and hurt the customer, according to the FINRA arbitration case.
March 2
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Citigroup, whose U.S. wealth management business oversees about $181 billion in client assets, created a new business to sell products through independent advisors as CEO Jane Fraser maps a path to managing more money for wealthy individuals.
March 2
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The advisor failed to disclose the low-interest loans he received from a fraudulent crypto securities issuer in exchange for selling the products, investigators say.
March 2
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The sale of the robo advisor represents a $1.6 billion dollar vote of confidence for all financial advisors, says Riskalyze CEO Aaron Klein.
March 2
Riskalyze -
It's the latest salvo against funds that don't live up to their green do-good claims.
March 1 -
From ultrarich to moderately wealthy, investors looking for outsized gains are being told to buy into the professional funds. There are risks.
March 1
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There are now 17 participating schools to bring the program to students in more parts of the country.
March 1
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Moscow's invasion of Ukraine is severely denting the fortunes of oligarchs at home and abroad.
March 1
