Here's the rest of the week’s news from the adviser fintech companies that aren’t on vacation.
The firm was charged with inadequately supervising its representatives, who made unsuitable recommendations of structured products.
B. Riley Financial had purchased a large stake in National Securities Corp.'s parent in 2018 and bought the remaining shares last year.
Rep. James Comer is calling on Edward Prewitt, who advised Hunter Biden, to provide information related to deals that triggered suspicious activity reports.
The tax deal in the Senate would eliminate the tax break used by private equity and hedge fund managers.
Ron Shurts, co-founder and CEO of Annexus, which develops annuities and other insurance products, will become a managing partner of Integrity.
At a hearing Thursday on scams and risks in the crypto and securities markets, senators on both sides of the aisle pitched legislation to protect investors from harm.
A new study shows 7 out of 10 caregivers are so focused on their caregiving duties that they put off addressing their own needs.
Each of the firms failed to comply with the agency's rule on identify theft red flags.
As insurers push prices on LTC policies higher, individuals must weigh their policy options to maintain protection at an affordable price.
The asset manager's new resource, Growth Lab, will provide tools to help independent financial advisers with growing their practices and lead generation.
The five-year contract covers the state’s 401(k) and 457 supplemental plans for state employees.
Nearly two-thirds admit needing more planning assistance, Northwestern Mutual survey finds.
A TDF specialist likens the current market environment to that in 2008, when TDFs fell more than 30%.
If you’re hoping to capitalize on new opportunities and remain ahead of the curve, it’s crucial to stay on top of current industry trends.
The company named Josh Gray as its new chief technology officer, promoted former senior vice president of marketing Justin Boatman to chief product officer and hired Craig Clark as first chief marketing officer.
The legal expenses linked to UBS' Yield Enhancement Strategy, which featured options, appear to be adding up.
The firm is facing a probe into whether it improperly let Americans trade digital assets that should have been registered as securities.
The nationwide study shows 79% of workers are changing their saving and spending habits because of inflation.
As part of the program, confidential mental health support will be provided to employees of the company’s six independent broker-dealers.
