RIA Industry News from around the Nation
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RIA Industry News from around the Nation
What's Happening Today
Updated Hourly
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Banks Are Giving the Ultra-Rich Cheap Loans to Fund Their Lifestyle
In the realm of personal finance, debt is largely viewed as a necessary evil, one that should be kept to a minimum.... Read more » - ●The former broker was suspended one month and fined $2,500 for allegedly misrepresenting in a Covid-19 relief loan application that he operated... Read more »
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Phil Sieg, who took over as Chief Executive of J.P. Morgan Advisors in April, outlined the plan as part of a broad... Read more »- A private banker who sources said may have been responsible for as much as $4 billion in assets is staying in New... Read more »
- Asset managers, lawyers, consultants, ESG rating agencies, and even the corporate issuers of securities could push for rules that are ultimately not... Read more »
- The state’s regulator brought charges against Schwab over “unethical and deceptive” practices that allegedly allowed an ex-advisor to collect at least $125,000... Read more »
Galvin takes swipe at Charles Schwab over unregistered adviser
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The Massachusetts Securities Division discovered the alleged illegal activities while investigating a complaint of exploitation of senior citizens. The post Galvin takes... Read more »- Michael Crotty, who joined Morgan Stanley’s Smith Barney predecessor in 2007 and moved to rival UBS earlier this month, agreed to Morgan... Read more »
- Former baseball star Alex Rodriguez is putting money into the online brokerage Tornado as the meme-stock frenzy and rise of day trading... Read more »
- The industry’s self regulator issued a three-month suspension and $5,000 fine against a former Morgan Stanley broker who allegedly did not receive... Read more »
NEWS
YJ Fischer to Join SEC as Director of the Office of International Affairs
The Securities and Exchange Commission today announced the appointment of YJ Fischer as Director of the Office of International Affairs (OIA), effective... Read more »
The Securities and Exchange Commission today announced an emergency action including a temporary restraining order and asset freeze to stop an alleged... Read more »
The Securities and Exchange Commission today announced that it has filed an emergency action charging California resident Charlie Abujudeh with running microcap... Read more »
Da Bear's Perspectives: Will High Rates of Inflation Return?
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Da Bear’s Perspectives By Ron A. Rhoades, JD, CFP® Associate Professor of Finance, Gordon Ford College of Business Director, Personal Financial Planning... Read more »The Securities and Exchange Commission today announced an award of nearly $3 million to a whistleblower whose information and assistance led to a... Read more »
BLOGS
Developing A “Good Enough” Mindset To Increase Financial Contentment
What's Happening Today
Updated Hourly RIA News
- ●In the realm of personal finance, debt is largely viewed as a necessary evil, one that should be kept to a minimum.... Read more »
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MassMutual Brings Over State Street Exec for New Post
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AmeriLife has a new product innovation executive. MDRT added a channel relations director. Related StoriesSen. Murray Revives Women's Retirement Protection Act - Enclosure4... Read more » - ●
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Gary Gensler's propensity to break up handshake settlement deals has created some distrust with current staff, sources say. Related StoriesHow Thought Leadership Is... Read more » - ●The former broker was suspended one month and fined $2,500 for allegedly misrepresenting in a Covid-19 relief loan application that he operated... Read more »
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"Even before this pandemic, women in America typically had less money saved for retirement," Sen. Patty Murray said. Related Stories4 Emerging Trends in... Read more »![]()
The SSA lets recipients struggle with its 2,728 rules and then makes them bear the brunt of mistakes, Kotlikoff tells ThinkAdvisor. Related Stories6... Read more »![]()
Phil Sieg, who took over as Chief Executive of J.P. Morgan Advisors in April, outlined the plan as part of a broad... Read more »![]()
Gorzynski's MG Capital Management bought Continent Insurance from HC2 for $65 million in cash. Related Stories4 Emerging Trends in Fixed Income Investing: State... Read more »![]()
Workplace retirement plan sponsors are demanding more from their advisors to improve participant outcomes, a new study found. Related StoriesFidelity Launches New Equity... Read more »![]()
The broker applied for an economic injury disaster loan while ignoring a major requirement: He didn't run a small business. Related Stories4 Emerging... Read more »
NEWS
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