On Wednesday, James Iannazzo agreed to pay $7,500, an amount his attorney called a 'token payment.'
By using a proactive approach, firms not only save time and minimize risk, but they also instill confidence into their team from the top down.
A bill introduced by Rep. Angie Craig, D-Minn., faces long odds this year, while the prospects for broader reform of the program depend on the outcome of November's election.
Amy Bush establishes Sage Investment Advice in Ingram, Texas, and joins the firm’s independent adviser channel.
Ceponis Financial Group and Brook Wealth Management are both based in Fairfield County.
Highland Private Wealth Management in Bellevue, Washington, has 18 employees, including five advisers.
Compared with general shareholder votes, defined-benefit programs were much more likely to support resolutions around ESG governance and worker protection.
Anthony Mona and Joseph Mansoor make the switch in Birmingham, Michigan, through OSJ Spartan Wealth Management.
Denizens of the metaverse can be ripped off by virtual investments, the North American Securities Administrators Association said in an advisory.
While the current economy is causing uncertainty and jitters, it’s also encouraging participants to act more like institutional investors.
The RIA specializing in public-sector retirement plans is working with Stadion on participant-level personalization and using EPIC's record-keeping platform.
The two investment banks both told staff that they will lift some of their remaining Covid-19 mitigation efforts after the Labor Day weekend.
The two private investors are investing $20 million of additional capital in the commission-free insurance specialist.
Gregory Lindberg and Christopher Herwig allegedly misappropriated $57 million in client funds, while their firm collected more than $21.4 million in advisory fees in connection with these schemes.
As clients consider the different types of coverage, they need to ask the correct questions and observe sign-up deadlines.
The economics are attractive right now, and many advisers see a better future for virtually everyone involved if they join forces with a larger firm.
CEO’s radical remake was accompanied by the exodus of 13 portfolio managers, traders and analysts to the Bank of Montreal.
Samuel Bates, Darin Frandsen and Adam Fluckiger set up shop at North Rim Financial Group in Saint George, Utah.
The New York-based RIA will provide four awards per year of up to $5,000 per student for individuals pursuing their CFP certification.
With the guidance of a well-informed financial professional, homeowners and investors can potentially tap into the value of their homes and be in a stronger liquidity position as the economy recovers.
