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YOUR PRACTICE PRACTICE MANAGEMENT MAR 31, 2021
See It Be It Role Model: Dana Wilson

Wilson founded CHIP, which stands for Changing How Individuals Prosper, as a judgment-free, welcoming space that encourages people of color to find financial advisers who look like them.

SEC charges Kansas RIA with defrauding clients
NEWS REGULATION AND LEGISLATION MAR 31, 2021
SEC charges Kansas RIA with defrauding clients

The complaint also alleges that Douglas E. Elstun misled clients about his trading in high risk, daily leveraged and inverse exchange-traded funds by failing to disclose the substantial risks of buying and holding these products.

Former rep sentenced to more than 17 years for defrauding clients
NEWS RIAS MAR 29, 2021
Former rep sentenced to more than 17 years for defrauding clients

He was suspended by the Certified Financial Planners Board of Standards in 2013, and was barred by the Financial Industry Regulatory Authority and the Pennsylvania Department of Banking in 2015.

YOUR PRACTICE PRACTICE MANAGEMENT MAR 27, 2021
Outstanding Practices: Ally Invest

How do you attract clients from segments of the population that traditionally have been ignored? Ally has been working to create an information-led program designed to build trust and credibility with women and Black and Brown people.

YOUR PRACTICE PRACTICE MANAGEMENT MAR 27, 2021
See It Be It Role Model: Erika Karp

The veteran Wall Street analyst and executive founded Cornerstone Capital in 2013 to pursue what she calls a more regenerative and inclusive form of capitalism, and continues that focus as chief impact officer at Pathstone, which acquired Cornerstone Capital this past March.

YOUR PRACTICE PRACTICE MANAGEMENT MAR 26, 2021
Rising Star: Juan Carlos Bastida

The Merrill Lynch adviser is actively involved in the LGBTQ+ community in the Fort Lauderdale, Florida, area and was one of just eight advisers nationally to be nominated to Merrill’s Advisory Council to Management, which provides input on ways to help advisers be more successful.

Bipartisan group proposes savings plan for low-income workers
RETIREMENT RETIREMENT PLANNING MAR 26, 2021
Bipartisan group proposes savings plan for low-income workers

The program would be modeled after the government’s Thrift Savings Plan for federal employees.

YOUR PRACTICE PRACTICE MANAGEMENT MAR 25, 2021
See It Be It Role Model: Lanta Evans-Motte

After a successful 13-year career in high tech and with an MBA in finance, Evans-Motte became a financial adviser, first at a wirehouse and then at Raymond James in the independent channel.

Colorado chooses Empower as DC record keeper
RETIREMENT RETIREMENT PLANNING MAR 25, 2021
Colorado chooses Empower as DC record keeper

The state's defined-contribution retirement plans have $5 billion in assets for 95,000 public employees.

Fed forming committee to prepare for climate risks
INVESTING ESG MAR 24, 2021
Fed forming committee to prepare for climate risks

The central bank wants to look at the dangers that a warming planet poses to the financial system.