An arbitrator overlooked a past business tie – Virginia's top court said that's not enough.
Too many retirement plans are built around a single savings target. In reality, longevity, healthcare costs, market volatility, and evolving personal goals demand a far more flexible approach. A durable retirement strategy is not about hitting a number. It is about building a plan that can adapt to life’s twists and turns.
The victim was reportedly instructed to drain his 401(k), IRA and bank accounts and move the funds into a bogus “federal locker.”
From finding strategic partners to going all-in on their own destiny, advisors who want to compete without compromising have multiple paths forward – with different tradeoffs – to consider.
Firms compete for experienced advisors as billions in client assets shift platforms nationwide.
Brokerage fintech DriveWealth will integrate with Kalshi's prediction markets, as a MrBeast employee was fined and suspended over insider trading on Kalshi.
April has already handled more than $1 billion in refunds this tax season, offering advisors the ability to model the tax impact of client decisions like large stock sales or Roth conversions.
Proposal revives a streamlined “economic reality” test and opens a fresh 60-day comment window for advisors, RIAs, and other concerned stakeholders.
Meanwhile, it looks like the BDC sales party is coming to an end for broker-dealers.
CAPTRUST has also welcomed an $830 million practice to extend its East Coast reach, while fee-only RIA EP wealth adds a top-ranked specialist advisory team in Arizona.
Foundation Source survey shows nearly all high-net-worth funders expect to maintain or boost their 2026 contributions, despite market and political uncertainty.
Castellanos, personally and through a sales team of about 42 sales agents, allegedly solicited and raised at least $25.2 million in MJ Capital’s unregistered securities from at least 1,222 investors.
FIDx CEO Rich Romano says operational friction, compliance complexity and fragmented workflows, not lack of demand, are holding advisors back from delivering guaranteed income solutions at scale.
Investors rush to buy claims as courts weigh who ultimately gets billions in tariff refunds.
Survey highlights strong trust in DC plans and resistance to tax or structural reforms.
The proposal would revise the 2002 safe harbor rule so that, for participants and beneficiaries who first become eligible after December 31, 2025, a plan that uses the 2002 safe harbor to deliver a pension benefit statement electronically must provide a one-time initial paper notice.
A “non-carrying broker-dealer,” or one whom holds specific exemptions from Rule 15c3-3, is exempt from Rules 17h-1T and 17h-2T if threshold requirements are met.
“The acceleration of generative AI is foundational to how firms operate, compete, and serve clients,” said Germán Soto Sanchez, chief product and strategy officer at Broadridge Financial Solutions.
Anthropic's new Claude integrations target RIAs, broker dealers, custodians, TAMPs, as new research from DeepVest finds mainstream AI models produce errors on 85 percent of investment management prompts.
Castellanos allegedly raised $25.2M from over 1,200 investors — without a single securities license.
