The former SEC commissioner Daniel Gallagher, now chief legal officer at Robinhood, could be a leading contender to lead the agency if Trump regains the White House.
Pension risk transfers, where insurance companies cover defined-benefit liabilities with group annuity contracts, have exploded in popularity – and litigation over them has followed.
Matt Wion, who heads up the company’s retail annuities business, says the “Amazon and Uber effect” means industry improvements are needed to make the buying process easier.
Only a third of people who anticipate getting $100,000 or more passed down to them say they are likely to retain relationships with financial service providers, according to survey data published by Equitable.
Despite the low costs in the Thrift Savings Plan, there are often more pros than cons to doing rollovers to IRAs, financial professionals tell InvestmentNews.
A firm and its owner agreed to a settlement with the SEC over alleged misstatements to customers and a lack of procedures to ensure compliance.
Panelists go over the challenges in hiring social media influencers and communicating about complex products.
RIA founder and consultant starting a new role as chief growth officer.
"More acquisitions are clearly in our future," says CEO.
Inspire Investing's ETFs and SMAs held companies that supported causes counter to the biblical values the products advertised, the regulator said in a settlement Thursday.
