Schwab, Robinhood and Vanguard all say clients may be having problems using their websites
The post Multiple trading platforms acknowledge technical problems appeared first on InvestmentNews.
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Report says the Labor Department's information about claiming retirement benefits may be insufficient
The post GAO wants better benefits information for divorced spouses appeared first on InvestmentNews.
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Regulator says the firm failed to supervise reps’ sales of risky energy securities
The post Finra censures and fines Wells Fargo $350,000 appeared first on InvestmentNews.
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Both the SEC and Finra are now investigating Robinhood's handling of its March outage, sources say
The post Robinhood’s rapid rise yields irate traders, US probes appeared first on InvestmentNews.
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Former head of Pershing Advisor Solutions emerges from brief retirement
The post Tibergien joins board of family office Pathstone appeared first on InvestmentNews.
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A marine gone to war and back. An orphan. Failure and redemption in world class athletics. These are some of the circumstances which have shaped and molded a special type of financial adviser. One who puts the personal element into their practice and one who places their client relationship first. These are the Human-Centric advisers.
The post Human-Centric Spotlight: Why Breanna Reish Built Her Practice Around Teachers appeared first on InvestmentNews.
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It’s not just about the potential for losing prospective business, but how political viewpoints can impact the adviser-client relationship
The post Talking politics on Twitter? Proceed with caution appeared first on InvestmentNews.
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Consistent support is key to progress on diversity and inclusion matters in the advice industry
The post The force of diversity appeared first on InvestmentNews.
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This year’s winner is not only a minority professional who’s succeeding in the financial services industry, she has made giving women a seat at the table a focal point of her life
The post Diversity & Inclusion Lifetime Achievement Award: Margaret Starner appeared first on InvestmentNews.
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Existing tax laws, the CARES Act, and election year uncertainty make it wise to be generous now in support of extraordinary needs
The post Why 2020 is a good year to give appeared first on InvestmentNews.
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More companies are pursuing small businesses for 401(k) plans, with technology enabling an abundance of new services
The post The race for small-business 401(k)s appeared first on InvestmentNews.
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Given the growing interest in ESG, rules and regulations that seek to restrict ESG investments are short-sighted and ultimately negatively impact investors
The post Reaching the next generation of investors via ESG appeared first on InvestmentNews.
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Forged documentation on an over-the-counter contract for a client led to a loss of about $11 million
The post Credit Suisse uncovers fraud at wealth management unit appeared first on InvestmentNews.
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The free trading app helps educate young adults through its online platform, but not all advisers believe it benefits first-time investors
The post Robinhood can benefit young investors — but is it worth the risks? appeared first on InvestmentNews.
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Wednesday's rallies in the S&P 500 and Nasdaq indexes were accompanied by gains in their volatility measures
The post Volatility gauges flash warning for stock rally appeared first on InvestmentNews.
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Millionaire investors have boosted cash to 19% of their total assets, up from 12% prior to pandemic, group says
The post Ultra-wealthy are loading up on cash appeared first on InvestmentNews.
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The third annual InvestmentNews Excellence in Diversity & Inclusion Awards highlight the achievements of 14 individuals, as well as the initiatives of 15 firms that prioritize diversity and value the creation of an inclusive environment
The post Stories of individuals and firms inspiring diversity in the financial advice business appeared first on InvestmentNews.
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Mike Brown Financial Group is led by the host of a St. Louis-area radio talk show
The post Trio managing $300 million at UBS goes indie with Raymond James appeared first on InvestmentNews.
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The Morningstar analysis of results so far this year does not bode well for active managers
The post Active management fails to impress amid 2020 markets appeared first on InvestmentNews.
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Investors take aim at an adviser, who sold GPB products, in numerous Finra arbitration claims
The post GPB problems come home to roost for advisers appeared first on InvestmentNews.
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