Scott Allen Fries of Cincinnati took $178,000 from clients and spent it on himself
The Institute for Portfolio Alternatives says lawmakers are receptive to its diversification pitch
As his clients sue, former rep James Flynn is reportedly in the Caribbean
We look at the big news, announcements and underlying trends and developments that are emerging in the world of technology solutions for financial advisers!
The central bank said again that it will continue buying Treasuries and mortgage-backed securities 'at least at the current pace'
Electronic delivery should be the default communication method for investors, according to a letter sent to the agency this month
Even though a federal appeals court vacated the measure in 2018, its impact lives on
The class-action cases point to allegedly excessive investment management fees
One goal is to fortify Democratic opposition to Reg BI
Democrats scrapping the Trump administration’s reforms hinges on who’s picked to lead the SEC
National aggregators are forcing independents to act
Even as the regulator moves to stem the funds in retirement plans, there are ample opportunities, according to speakers at the NAPA 401(k) Summit
The agency said Arizona’s Park View School misled investors about its financial condition
How half a year of quarantine has affected the financial services industry
Taking testimony, conducting depositions and hearings remotely gains acceptance
Working from home during COVID-19 might not qualify for a tax break
The pandemic creates cracks in how firms oversee advisers’ communications with clients
Remote oversight is starting to change the concept of supervision
Capital Financial Services is shutting down, leaving clients on the hook
SEC complaint charged Steven Rodemer with stealing funds from elderly client
