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Finra censures, fines Securities America $125,000
NEWS REGULATION AND LEGISLATION FEB 25, 2021
Finra censures, fines Securities America $125,000

Regulator says the firm caused recruits to take nonpublic personal client information.

Covid’s financial pinch worse than the Great Recession’s, survey finds
RETIREMENT RETIREMENT PLANNING FEB 24, 2021
Covid’s financial pinch worse than the Great Recession’s, survey finds

Annual Allianz retirement study found earlier retirement, more strained personal finances

RIA managing $172 million joins Carson Partners
NEWS RIAS FEB 24, 2021
RIA managing $172 million joins Carson Partners

Oregon’s Price Financial Group will use Carson's resources, including infrastructure and technology.

Principal, MetLife assume a $1.2 billion pension obligation
RETIREMENT RETIREMENT PLANNING FEB 23, 2021
Principal, MetLife assume a $1.2 billion pension obligation

Retirees in the pension plan of Philips North America will receive the same monthly benefit.

Morgan Stanley deal beefs up workplace offering
RETIREMENT RETIREMENT PLANNING FEB 23, 2021
Morgan Stanley deal beefs up workplace offering

Privately held companies using law firm Wilson Sonsini's capitalization software will migrate to Morgan Stanley's Shareworks.

Former TD Ameritrade exec to head innovation for Fed
YOUR PRACTICE PRACTICE MANAGEMENT FEB 23, 2021
Former TD Ameritrade exec to head innovation for Fed

Sunayna Tuteja will assume a new role as the central bank’s chief innovation officer.

Five tips to overcome gender bias
NEWS OPINION FEB 22, 2021
Five tips to overcome gender bias

These five steps can help leaders effectively manage the challenge of gender bias.

Rockefeller nabs $450 million Merrill Lynch team
NEWS RIAS FEB 22, 2021
Rockefeller nabs $450 million Merrill Lynch team

The pair of advisers in Denver marks the registered investment advisory firm’s first foray into Colorado.

2020 Innovator: Mark Iwry
NEWS INDUSTRY NEWS FEB 22, 2021
2020 Innovator: Mark Iwry

Brookings Institution, Nonresident Senior Fellow

2020 Innovator: Ed Slott
YOUR PRACTICE PRACTICE MANAGEMENT FEB 22, 2021
2020 Innovator: Ed Slott

Ed Slott & Co., President and Founder