Special benefits for special needs clients
Advisor who focuses on special needs planning highlights two ‘life changing’ government programs available to those who have a disability.
Companies transferred billions in pension assets to annuities. Here come the lawsuits
The law firm behind one of the cases is well-known for its 401(k) and 403(b) litigation: Schlichter Bogard.
Nine-tenths of advisors feel underserved on tech
Orion survey finds just over half of advisors will invest more in client-facing technology, while three-tenths are looking at AI and machine learning.
JPMorgan fined $348M for falling short on trading surveillance
The firm's trade-surveillance program has operated with certain deficiencies since at least 2019, according to the OCC.
Cetera provides bitcoin ETF clarity with policy for advisors
The broker-dealer moves to the forefront with education, training, and resources in ‘prudent embrace’ of innovative products.
New Hampshire bars former Next Financial broker
The broker and Next Financial Group Inc. are on the hook for more than $1 million in penalties.
Hedge funds, PE firms discussing ways to deal with SEC messaging crackdown
Citadel, KKR & Co. and Blackstone Inc. are among the firms that have been talking about strategies to blunt SEC penalties related to the use of messaging apps.
Stifel unveils deal betting on CD business
Wealth giant agrees to acquire platforms to future-proof its certificates of deposit offerings.
What’s the key to achieving retirement happiness?
Research from MassMutual underscores gaps between retirees and pre-retirees, as well as evolving views on retirement satisfaction.
LPL grows network with 7 ex-Osaic advisors
Minnesota advisors join the firm after overseeing around $700M in assets at Osaic.