Advisors Are Retiring in Droves. Here's How To Find Someone You Can Trust.
Over the next decade, more than 109,000 advisors plan to retire, comprising almost 38% of the industry’s head count,
Source: marketwatch.com
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Biden criticizes advisors who put their pay over clients' returns
President Biden warned advisors not to recommend high-fee products that line their pockets rather than help clients build a nest egg.
Source: investmentnews.com
FPA launches program to attract members from Ameriprise
FPA launched an initiative Thursday to add members from Ameriprise Financial, but a fiduciary advocate has questions about the move.
Source: investmentnews.com
SEC penalizes small Wisconsin B-D $50,000 over Reg BI faults
The SEC said Friday it reached a $50,000 settlement with a small firm in Wisconsin, Carl M. Hennig Inc., for violating Reg BI.
Source: investmentnews.com
Massachusetts' highest court hands a win to state-level securities regulation in Robinhood case
Secretary of the Commonwealth William Galvin in 2020 filed a complaint against Robinhood complaining of the platform’s gamification of trading by advising customers “without considering whether those recommendations were in each customer's best interest."
Source: bostonherald.com