Broker who sold GWG bonds faces deluge of investor complaints
'I intend to vigorously defend myself against these claims,' broker Tony Barouti states.
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Recent IPO wave has advisors talking tech, venture capital with clients
IPOs like Instacart, Klaviyo and Arm Holdings may be struggling to sustain their post-debut gains, but they're still sparking conversations between advisors and clients.
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$116 billion saved in HSAs, Devenir finds
Asset and investment growth in health savings accounts was strong during the first half.
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Carson Group adds Maryland RIA with $300M in assets
Columbia-based FAI Wealth Management was founded in 1987.
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Farther closes Series B funding round to gain $131M valuation
Wealthtech firm is also closing in on $1B AUM thanks to fast growth in 2023.
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Workers fear they may not save the $1M they need for comfortable retirement
Bankrate survey finds that most feel they are behind on their retirement savings.
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SEC agrees on Wall Street WhatsApp settlement, says Reuters
Report says that the deals are now being considered by the firms involved.
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Corporate bonds swing into loss amid hawkish Fed
Optimism has been shattered by the tougher stance taken by the central bank.
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Franklin Templeton expects more debt defaults from junk firms
Asset manager sees greater risk in high-yield, but says it’s generally good risk.
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US stock sell-off may intensify, Goldman Sachs warns
MD Scott Robner says it's a "no rules market" but expects year-end rally.
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Citigroup could sell $4B China wealth unit to HSBC
The firms are reportedly in talks as HSBC aims for domination in the region.
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Foreign investors dump most Japan stocks since SVB collapse
US interest rates continue to impact foreign equity markets.
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House grills Gensler over shutdown, CAT and climate rule
Members of the House Financial Services Committee spent hours criticizing or praising the SEC's work under Chair Gensler.
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As Rates Rise, Consider Fixed Income that Floats.
How Floating Rate Direct Loans Have Thrived in Past Periods of Rising Interest Rates and Market Volatility.
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Wells Fargo buying Neiman Marcus space in NYC for $550M
The firm plans to convert the roughly 400,000 square feet of space into offices.
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Account fees, bonuses likely topics at Thursday’s Cetera, Avantax confab
A $60-per-account fee and retention bonuses are issues that are likely to come up in Cetera senior execs' meeting with Avantax advisors.
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We need to talk about Method Man and Redman’s performance at Future Proof
"For a conference billing itself as the future and inclusive to all, this was the opposite and seemed tone-deaf,' says one person who attended the concert.
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RIAs seeing increase in client anxiety over retirement plans, survey shows
RIA clients are increasingly worried about retirement prospects and the level of financial security they can achieve during their golden years.
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Finra asks SEC to extend remote inspections program
The rule allowing such inspections is due to expire at the end of this year, but Finra has asked to delay the expiration until June 30.
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Nebraska team managing more than $600M switches to LPL Financial
Omaha-based Pat Ricketts and Mindy Helfrich were previously affiliated with Principal Securities
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