The Indianapolis-based firm, formerly David A. Noyes & Co., agrees to censure, a fine and restitution.
The new feature on the IBD's platform lets advisers use a variety of models within a client's portfolio,
The company says the tools that are currently available don't focus enough on clients' needs.
Eight Kansas reps will affiliate with the independent unit of Raymond James through Beyond Wealth Advisors.
Starting in 2022, the Thrift Savings Plan will offer a new mutual fund window that will include ESG funds.
Finra also censured the firm in connection with privacy breaches that occurred during transfers of new clients.
The former executive at Goldman Sachs and AIG will head the firm's new investment effort, Kestra Investment Management.
A lobbying group for PE firms is rolling out ads targeting 25 members of Congress to try to protect the carried interest tax break.
Virginia, Maine and Alabama recently adopted rules tracking the model ‘best interest’ measure approved in 2020 by the National Association of Insurance Commissioners.
The fee-based products will be part of Halo's digital platform, which also offers structured notes, market-linked CDs and buffered ETFs.
