Tech-driven personalization, enhanced user experiences, and ESG served as key themes during InvestmentNews’ inaugural Next Gen Summit.
The post Attracting Next Gen clients will require advisers heed three trends appeared first on InvestmentNews.
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The broker transferred funds from the investment account of a couple whose portfolio he managed directly into bank accounts he controlled, according to the Department of Justice.
The post Ex-Janney broker stole $400,000 from clients to pay gambling debt: Feds appeared first on InvestmentNews.
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Firm head and former Trump economic adviser share ‘love of free markets’
The post Larry Kudlow joins The Bahnsen Group as an adviser appeared first on InvestmentNews.
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Bitcoin's rally and an increase in institutional adoption amplify the need for advisers to educate themselves on cryptocurrencies.
The post Advisers agree: It’s time to stop ignoring Bitcoin appeared first on InvestmentNews.
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At a Financial Services Committee hearing, House Democrats pressed the leaders of Robinhood and Citadel on whether they're profiting at the expense of retail investors
The post Robinhood, Citadel CEOs spar with lawmakers over retail trading appeared first on InvestmentNews.
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'Investors harmed by Robinhood’s trading restrictions should be able to argue their case in court, rather than in closed-door proceedings that are too often rigged against claimants,' Warren wrote in a letter to Finra CEO Robert W. Cook.
The post Warren presses Finra to review whether forced arbitration harms Robinhood customers appeared first on InvestmentNews.
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A group with seven advisers in West Virginia and a solo adviser in Ohio switch affiliations.
The post Two FiNet teams managing $1.06 billion move to Raymond James appeared first on InvestmentNews.
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Despite new figures showing higher savings rates and account balances, just over half of people said they are worried about how the pandemic will affect their financial security in retirement.
The post 401(k) savings went up in 2020, but so did retirement worries appeared first on InvestmentNews.
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The 84-year-old fund complex enters the ETF market with four funds, including two ESG strategies, and joins a host of fund companies seeking opportunities in the semitransparent space.
The post Putnam latest old-school fund firm to sell semitransparent ETFs appeared first on InvestmentNews.
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But many women are reluctant to pay for advice, with only 51% of female respondents surveyed by Cerulli agreeing that they are willing to pay for financial advice, compared with 58% of men.
The post Women rely on financial advisers more than men appeared first on InvestmentNews.
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'Our pipeline is excellent,' said CEO Rudy Adolf during a conference call Thursday morning. 'Quite frankly, in many ways, we are busier than ever.'
The post Focus Financial sees another bang-up year for RIA M&A in 2021 appeared first on InvestmentNews.
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The fund rebalances gold and cash based on recent market volatility. It marks the first product from Wilshire Phoenix after the firm spent much of the past two years trying to get a bitcoin ETF approved by the SEC.
The post Latest gold ETF times the market so advisers don’t have to appeared first on InvestmentNews.
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The principals of The Berry Group, which is based in Worcester, will join the firm as partners.
The post Massachusetts RIA managing $625 million merges into Moneta appeared first on InvestmentNews.
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Understanding the facts about taxes and eligibility for new PPP loans can help you decide if one is right for one of your clients’ businesses.
The post How technology can help advisers talk to clients about PPP loans appeared first on InvestmentNews.
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The company's credit ratings unit let analysts make adjustments that resulted in higher ratings on commercial mortgage-backed securities, the agency alleges.
The post Morningstar tweaked ratings of paying clients, SEC claims appeared first on InvestmentNews.
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Keith Gill, a Massachusetts CFA and one of the influential voices pushing GameStop on social media, was hit by a lawsuit accusing him of misrepresenting himself as an amateur investor.
The post ‘Roaring Kitty’ sued for fraud over GameStop rise appeared first on InvestmentNews.
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Foran Financial Group of Somerville, New Jersey, is rejoining the independent broker-dealer after spending six years at Raymond James.
The post Team managing $350 million makes U-turn to LPL appeared first on InvestmentNews.
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The program, which was launched in 2017, represented nearly $85 million in assets among 88,000 funded accounts at the end of 2020, according to figures from the state. It was the first of several automatic IRA systems that states have rolled out for private-sector workers who otherwise would not have access to a workplace retirement plan.
The post OregonSaves gets passing grade in new academic paper appeared first on InvestmentNews.
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The private asset management firm, Ariel Alternatives, aims to build certified minority enterprises that can supply Fortune 500 companies.
The post Ariel Investments launches firm to build minority businesses appeared first on InvestmentNews.
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Client appreciation dinners are all well and good, but private suites at Madison Square Garden are clearly beyond the pale.
The post Brokers sold GPB private placements using the worst tactics in Wall Street’s playbook appeared first on InvestmentNews.
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