The case, which is seeking class status, also names Fidelity and Financial Engines as defendants.
Newport, Kentucky-based Hoff Bujnoch & Associates is led by Digger Bujnoch and oversees $150 million in client assets.
The multicustodial open architecture platform promises to connect the various applications advisors use to service clients.
BondGPT, which uses OpenAI technology to help power its bond analytics, will help traders find more liquid bonds at a better price.
At the end of April, The Retirement Planning Group had 14 advisors and 40 employees.
The legislation mandates that the SEC think beyond current income and wealth thresholds to define the sophisticated investors who are qualified to buy private securities.
Regulator’s suit comes day after the agency sued crypto platform Binance for a wider set of violations.
Both CellTrust and ionLake provide compliant text messaging and archiving for advisors. CellTrust accused ionLake of violating its patents, but the jury disagreed.
The independent broker-dealer is developing different channel strategies as part of its rebranding, and RIAs are a big part of that.
The lawsuit seeks $150 million in damages from the radio host over ads for a timeshare exit business that listeners say failed to extricate them from timeshare contracts.
The agency has for months been probing whether Binance illegally sold digital coins as the exchange was getting off the ground in 2017.
Miami-based Eva Marina Ovejero has more than two decades of experience.
Amy Lawrence is launching Gorilla Investments Co. in Miami.
While the rules for claiming Social Security will get a bit simpler starting in 2024, clients will continue to need advice on the best time to claim benefits.
Richard Ina will open an office for the firm in the Nashville, Tennessee, area.
When it comes to retirement planning, the idea of crunch time takes on an entirely different meaning.
Park Avenue Securities fell short in its supervision of a rep who helped operate a cannabis business, the regulator says.
The 63-36 vote on the bill Thursday night was carried by moderates in both parties; the legislation now goes to President Biden to sign.
The legislation seems to strike a balance between concerns about allowing ordinary investors to buy private placements and creating opportunities for them to diversify their portfolios.
Investor harm is occurring among so-called sophisticated investors, and strong guardrails must be put in place if access to unregistered securities becomes easier for retail investors.
