Nimesh Patel was named to the firm's newly created CTO position in February 2022.
'A leopard doesn’t change its spots,' one industry attorney said of Wilson Baston of Brooklyn, New York, who had pleaded guilty in 2008 to deceiving hundreds of investors in a Ponzi scheme.
Wealth management boss on shortlist of three to replace outgoing Aussie.
The report says more than half of investment advisors force their clients to go to arbitration to settle disputes, but it doesn't put a number on RIA arbitration cases or the costs for claimants.
Desire for more independence, time with clients lead Indiana team to switch from Cetera.
MaxMyInterest's services will be available to more than 100,000 advisors using eMoney.
Mike Lynch of Hartford Funds talks about the factors that can cause a retiree to return to the workforce.
James Iannazzo made cash transactions totaling close to $846,000 to avoid detection, the regulator alleges.
Banks, traders and support staff in Credit Suisse's investment bank in London, New York and some parts of Asia are expected to bear the brunt of the cuts.
While our economy is built on individuals building new businesses, that requires access to capital, which will be out of reach for many as a result of higher rates. Home equity could provide a solution.
Regulatory changes, social pressure and demand from clients are keeping fund companies focused on ESG, according to a survey.
The voluntary framework published by the International Sustainability Standards Board paves the way for companies across jurisdictions to report uniform climate and sustainability information.
The list of priorities put together by the House Committee on Financial Services' ESG working group shows where a Republican administration might be headed.
House conservatives recently recommended raising the retirement age to receive full benefits to 69, a proposal that put the spotlight back on the thorny problem of the program's solvency.
The riders attached to a House bill funding the agency will meet resistance in the Democratic-majority Senate.
The four advisors control $400 million in client assets and their Elkhorn-based firm is called Omnia Wealth Group.
The company is adding to its support for groups of plans and rolling out new programs for multiple employer plans and pooled employer plans.
Capital raises that are open to the public allow for access to new avenues of wealth-building.
The majority of pre-retirees highlighted inflation as the greatest challenge to their retirement plans over the coming 12 months, followed by an economic recession, market volatility and taxes.
The court's ruling reinforces the ability of companies to channel customer and employee disputes into arbitration.
