The SEC has awarded more than $738 million to 134 whistleblowers since 2012. But becoming a tipster could involve sacrifices.
The former CEO of Washington Financial Group succeeds the late David Reich in the role of national president of Hub Retirement and Private Wealth.
Fiduciary advocates are pressing the Securities and Exchange Commission to overhaul the measure. FSI and other industry groups will lobby to keep it intact.
The practice in Dallas includes four advisers and three support staff.
Have systems in place so that clients experience a personal connection on a regular basis. This includes reminders to call or email them simply to touch base and let them know you’re thinking of them.
The conference, which included five events held over seven months, was deemed the best virtual event series in 2020 by StreamGo.
Adopting AI across asset management will accelerate the ability of investment professionals to better serve investors and create new sources of value, making them even more essential.
The broker-dealer self-regulator cited a surge of new retail investors entering the markets via online platforms, which has led to a spike in more sophisticated kinds of trading, such as options.
Advisers should be ready for Bitcoin to increasingly become a part of their conversations with investors. Fintech companies are already reducing the barriers to participation.
The Certified Financial Planner Board established a 15-member commission to review and recommend changes to its sanction guidelines for current mark holders as well as its fitness standards for candidates for certification.
To help your clients make sound long-term decisions they can live and thrive with, work with them to think through options that will harmonize their financial and emotional lives.
Michael Topinka, Carl Boomhower and Daniel Tyburski set up shop in Wayne, New Jersey, as Topinka Financial.
The free-trading app faces renewed accusations that its platform is manipulative amid a decision to halt certain trades just a month after Massachusetts regulators accused it of ‘gamification.’
The real fun is just getting started, now that everybody and their mother knows what a short squeeze is.
While users of the trading platforms claim in court filings that they suffered losses from the restrictions, legal experts say brokerages have broad powers to block or restrict transactions — all of which is spelled out as part of customer agreements everyone signs to gain access to the services.
Trading platforms issued restrictions on GameStop, AMC and other shorted stocks that surged to unprecedented highs this week. Lawmakers like Rep. Alexandria Ocasio-Cortez, D-N.Y., and Sen. Ted Cruz, R-Texas, expressed deep concern.
COVID-19 and increased competition slowed down recruiting in 2020, according to CEO Paul Reilly. Now, the firm is beefing up compensation to advisers who are employees.
The market frenzy was spurred by social media posts from prominent CEOs and internet influencers. The tweets and threads created internet mayhem and ultimately pushed the video game retail business to a $24 billion market cap.
The big news, announcements and underlying trends emerging in the world of technology solutions for financial advisers!
The brokers with outages or problems include the most prominent names in the discount and online brokerage industry, including Fidelity, the Charles Schwab Corp., TD Ameritrade, ETrade Financial Corp. and Robinhood.
