Thomas Vernor is based in Huntsville, Alabama, and started in the securities industry in 1984 at Morgan Stanley Dean Witter.
The Federal Reserve’s fine over Archegos may be as high as $300 million, while the UK’s Prudential Regulation Authority could impose a penalty of up to $128 million.
Christopher Coffin is opening a new firm, Coffin Financial Group, in Austin, Texas.
Now is the time for advisors to act by nudging clients into actions that will have long-term positive consequences, especially when the market inevitably again turns down.
While the SEC is working to put teeth into Regulation Best Interest, questions remain about how it’s working in practice.
For advisors, LinkedIn and Facebook were far better for generating interactions than Twitter.
There are lessons in the data for politicians who are pro- or anti-ESG, but the numbers might be dismissed.
Legislation introduced this week would restructure the agency and remove Gensler from its helm. Two subcommittees will grill agency officials on Thursday.
Andrew Komarow was featured in InvestmentNews in May 2021 for his focus on understanding special-needs financial planning.
Given the three dozen others that have filed for a bitcoin ETF without success, ETF watchers are wondering if BlackRock has an inside track to gain approval.
Vanguard's annual retirement report showed auto enrollment removes a barrier to entry for employees saving for retirement.
Only 24% of young adults strongly agree that their employer has policies or structures in place to support work-life balance.
Regulators are looking at Goldman Sachs' role in Silicon Valley Bank's efforts to raise funds shortly before it collapsed in March.
Both TD Ameritrade and Schwab have been busy addressing migration concerns, but a little perspective would be useful here.
The measure, which could survive the governor's veto, would still allow ESG factors that are 'pecuniary.'
The new partnership with Ascensus is the robo-advisor's second foray into college savings plans.
Artificial intelligence and restrictions on some transactions by elder customers could help reduce the problem, financial industry officials say.
Regardless, plenty of questions remain about the future of the long-time Cetera executive.
Pricing, product governance and legal liabilities are some of the factors to consider when assessing drug companies.
Lexington, Kentucky-based VFG Wealth Management and Benefit Solutions works with both individuals and small businesses.
