Leo Almazora
Two dissenting voices from the federal regulator warned the penalty could create "a counter-productive dynamic" with its regulated entities.
The fintech's first DLT-enabled fund, launched jointly with UBS, will be the first proof point of its efficiency-boosting technology.
Landmark study of more than 40 million investors shows shifts in self-directed investing, with balance of power tipping away from mutual funds.
Research lifts lid on RIAs' use of annuities, growth strategies, and opportunity to take wallet share from banks.
With two-fifths of US adults worried long-term care costs would keep them from retiring, many are placing their hopes on AI.
Latest survey reveals all-time high of $106.7B in Q1 sales, with winning streaks in fixed-rate deferred annuities, FIAs, and RILAs.
The two advisors, who reportedly managed $177M, are transitioning as they commit to a long-term succession plan.
The Arizona-based planning firm with more than $3.4B in AUA hails the development as a strategic "win-win."
The federal securities regulator says the exchange giant took four days to report a vulnerability in its network, violating its internal procedures.
The broker-dealer supercharges its network in the east with a roughly 100 advisor team formerly from Lincoln.
