Robert Batick moves from Westport Capital, while Norman Coates made the switch from LPL Financial.
The three-person, all-public panel awarded the investor $640,747, mostly in compensatory damages, but denied punitive damages, according to a Finra arbitration award.
As a rookie adviser, Vidal Peoples met a doctor in need of comprehensive financial planning. He taps into the kind of professionals whose incomes can skyrocket but are also saddled with mountains of student loan debt.
Avan recently became SVP and head of global women's and under-represented talent strategy, global human resources for Bank of America.
The exchange will direct its listed companies to pursue board diversity — by having at least one female board member and at least one who identifies as a member of an underrepresented minority or LGBTQ — or explain why they don’t.
The Investment Adviser Association isn't giving to the 147 legislators who voted to decertify presidential results. The Investment Company Institute has suspended donations for now. Other groups left the door open.
The leading TAMP by assets is racking up the number of advisers on its platform and new accounts are opening at a faster pace than prior quarters, said CEO Bill Crager in an earnings call.
The effort, WA Cares, is the first of its kind in the US and could serve as a model for other states.
Athene will provide benefits to about 18,000 participants in Lockheed’s pension plan. The deal follows a 2018 agreement between the two companies in which Athene assumed $800 million in obligations tied to around 9,000 retirees and beneficiaries of the aerospace giant’s pension plan.
The provision, tucked inside a massive infrastructure bill, would require tax reporting for transactions similar to securities. The measure seeks to ensure that details about digital transactions — such as purchase price, gains and losses — are reported to the IRS.
Connecticut is among 11 states and cities that have enacted auto-IRA legislation, and it will be one of the few to go live.
The SEC chairman's nod toward '40 Act crypto funds is the only opening the ETF space needed.
The shifts signal that the financial services industry is rethinking its return-to-office plans as the highly contagious delta variant sweeps across the country.
Finra cancelled the license of Florida-based Spartan Securities Group in 2019.
A recent survey showed most public companies are revealing information on climate change, but want mandatory ESG disclosures to be flexible.
Jeff Anderson and Doug McClure of Bothell, Washington, affiliate through Mainspring Wealth Advisors, an office of supervisory jurisdiction.
The list will help employers avoid lawsuits related to their retirement plans, according to the group that built it.
Americans experienced a wide range of financial consequences during the pandemic. A new survey analyzes the financial impact of the pandemic on different generations
More RPAs are choosing to sell, in part to get referrals, especially if they are part of a benefits firm. But being part of a larger firm as an employee is not appealing to all.
The insurance broker and the record keeper team up to create a product for small retirement plans.
