Firms will pay $1.4 million in restitution to about 100 clients and fines of $675,000
The post Finra sanctions two Wells Fargo B-Ds for failure to supervise VA switches appeared first on InvestmentNews.
Read More
It's clear auto enrollment and auto escalation help employees save. Why aren't more smaller plan sponsors using them?
The post 401(k) plan savings challenge has been solved appeared first on InvestmentNews.
Read More
The Investment Adviser Association wants discretionary clients of fiduciaries to be accredited
The post Advisers wary of becoming gatekeepers to private markets appeared first on InvestmentNews.
Read More
Designed to enhance new employee engagement, users created their own avatars and participated in scavenger hunts to socialize with fellow trainees
The post Fidelity tests virtual reality simulators for new employees appeared first on InvestmentNews.
Read More
The law firm Capozzi Adler has brought numerous cases this year on behalf of plan participants
The post Latest 401(k) lawsuit filed in an avalanche of COVID-19 litigation appeared first on InvestmentNews.
Read More
An academic paper questions the notion that U.S. stocks with higher ESG scores held up better than the broader market during the first-quarter sell-off
The post Research casts doubt on claims of ‘widespread’ ESG outperformance appeared first on InvestmentNews.
Read More
The bank said it will increase Black leadership to 12%
The post Wells Fargo among the companies setting racial hiring quotas appeared first on InvestmentNews.
Read More
The digital platform, which matches clients with advisers based on personality, was designed to mimic popular dating apps
The post Edward Jones new matchmaking tool takes cue from Tinder appeared first on InvestmentNews.
Read More
Matthew Clason allegedly liquidated securities and transferred the proceeds to a joint account
The post SEC charges Connecticut hybrid adviser with stealing $300,000 from client appeared first on InvestmentNews.
Read More
Secretary of the Commonwealth William Galvin could take a more aggressive approach toward advice regulation than the SEC
The post Massachusetts begins enforcing fiduciary rule despite Reg BI appeared first on InvestmentNews.
Read More
The number of accounts has grown to more than 29 million in the past year
The post Health savings account assets now top $73.5 billion appeared first on InvestmentNews.
Read More
Jerry Bramlett helped build FuturePlan into the country’s largest third-party administrator, according to the firm
The post Ascensus TPA president leaves company appeared first on InvestmentNews.
Read More
Asset managers including Fidelity, BlackRock and State Street submitted comment letters criticizing the proposed rule
The post Fund industry opposes DOL’s proposed ESG rule appeared first on InvestmentNews.
Read More
Its acquisitions of Baldwin & Associates and GreenCourse Financial Advisors will close in the fourth quarter, chair Justin Ferri said
The post Buckingham snaps up two more RIAs appeared first on InvestmentNews.
Read More
A seemingly appropriate conversation at the wrong time can be a painful combination
The post Why the ‘when’ matters in prospecting during a pandemic appeared first on InvestmentNews.
Read More
There was no playbook for advisors when the pandemic began. But after a few uncertain months, positive lessons have been learned.
The post What Have Advisors Learned from the Pandemic? appeared first on InvestmentNews.
Read More
MoneyGuide users are now able to model various annuity strategies to identify and act on income gaps their clients may face
The post Envestnet launches annuities on MoneyGuide platform appeared first on InvestmentNews.
Read More
Investors are exiting such funds at the fastest pace ever as stocks surge and corporate bonds look more appealing
The post Cash-like ETFs see big outflows appeared first on InvestmentNews.
Read More
The complaint claims Yodlee’s distribution of client data caused thousands of dollars in economic losses to each individual involved
The post Envestnet hit with data security lawsuit appeared first on InvestmentNews.
Read More
The Overland Park, Kansas, trio will operate as MDS Advisors of Raymond James
The post Team managing $1.2 billion at UBS joins Raymond James appeared first on InvestmentNews.
Read MoreWe're here to help. Send us an email or call us at +1 (585) 329-9661. Please feel free to contact our experts.
A donation will be made by Adviser First Partners to a Veterans organization on behalf of all financial professionals and firms that register each month
Contact Us
© 2025 Adviser First Partners. All Rights Reserved.
Web Design by eLink Design, Inc., a Kentucky Web Design company
