The alleged killer, Keith Todd Ashley, tried to make his client's death look like a suicide.
At TD Ameritrade, Patullo oversaw the strategic direction of adviser-facing technology and spearheaded the open-architecture approach to third-party integrations.
By honoring Bernanke, the prize committee have taken an unusual step of adding an actual practitioner of economics policy to their pantheon.
Hitting the sweet spot between taking advantage of new marketing opportunities and staying in compliance with the SEC marketing rule will be a big challenge for advisers.
The North American Securities Administrators Association is working on a model rule that 'mirrors' the SEC regulation.
The final rule is coming out at a time when sustainable investing has become a political flashpoint.
62% of workers have cut their contributions to their savings in response to the economic impacts related to inflation or concerns about a recession.
A roundup of the rest of the week's fintech headlines, including news from Tidal Financial, FA Match and Aspida.
The presidential pardon for those with marijuana convictions was interpreted as a step toward federal decriminalization and sparked a rally in funds offering exposure to cannabis companies.
The firm designs and manages retirement plans, including 401(k)s, 403(b)s and 457(b)s, as well as defined-benefit and cash-balance plans.
Alexander Guiliano is launching Resonate Wealth in Ridgewood, New Jersey, along with two staffers.
The integrations with Flourish Crypto and Gemini Bitria pull custodial data on cryptocurrencies into the RIA technology platform.
Tuttle Capital Management is seeking SEC approval to launch two active ETFs populated with the 'Mad Money' host's favorite stocks.
The change will offer the regulator's employees a hybrid approach that combines in-office and remote work.
Groups like XY Planning Network and the CFP Board view a document from the state's Division of Securities as undermining fee-for-service models.
Economist Laurence Kotlikoff offers his outlook on inflation and how investors can prepare their portfolios to defend against it.
The use of robo-advisers fell from 27.7% of US investors in 2021 to 20.9% this year, according to research from Parameter Insights.
The two retirement giants, along with Alight Solutions, are forming a consortium to automate the transfer of 401(k) accounts with balances below $5,000 when workers change jobs.
The regulator says the firm didn't search the market to see if it could find better prices for customers, in a case that's another example of the regulatory crackdown in this area.
It's important for advisers to understand how the emotions of clients can dictate whether and when they'll give you more assets to manage.
