SEC Fines JPMorgan $4 Million Over Accidental Deletion of Millions of Emails
The regulator says JPMorgan erased 47 million electronic communications, including emails and instant messages, that the company was required to keep.
Source: barrons.com
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Carson Group Buys $5 Billion RIA in Its Largest Deal Yet
The acquisition of Northwest Capital Management expands Carson Group’s footprint in the Pacific Northwest.
Source: barrons.com
Investment Adviser Association Asks SEC to Reconsider Bevy of Proposed Rules
The Investment Adviser Association is warning the Securities and Exchange Commission that potentially overlapping rules threaten to overwhelm compliance departments.
Source: barrons.com
Rockefeller Recruits Advisor Teams From First Republic, Truist
The new recruits include a team led by a top-ranked advisor that oversaw $1.1 billion in client assets.
Source: barrons.com
Week's Best: What Makes a Person Wealthy? Schwab Asked Investors.
Here’s our weekly roundup of the week’s most-read articles at Barron’s Advisor.
Source: barrons.com