3 Ways Advisors Can Better Serve Female Investors
By Michael S. FischerFocus on a segment of the market and tailor your approach, Cerulli suggests.
September 03, 2021
9 Firms Hit by SEC Over 12b-1 FeesThe SEC gave firms a chance to self-report violations and avoid penalties. Now it's bringing cases.
September 02, 2021
Orion Mulls More Acquisitions as It Folds In Brinker, HiddenLeversEric Clarke talked to ThinkAdvisor about crypto, its Brinker and HiddeLevers integrations and why Orion chose to hold an in-person conference.
September 02, 2021
Snappy Kraken Delays JOLT Conference: Tech RoundupMeanwhile, the UBS Investment Bank has given new funding to the Lynk AI-driven platform.
September 01, 2021
Focus Financial Scoops Up $9B Ohio-Based Wealth GroupThe deal adds Ancora Holdings, which is employee-owned and led by CEO and Chairman Fred DiSanto.
September 01, 2021
SEC Orders Massachusetts Firm to Pay $700K Over Cash Sweep ConflictsCantella & Co. allegedly placed client cash into cash sweep products through which the firm collected revenue-sharing payments.
August 31, 2021
SEC Charges Advisory Firm Serving Teachers With Billing, 12b-1 Fee ViolationsCertain clients had to pay a higher advisory fee than they should have and were charged 12b-1 fees.
August 31, 2021
Fidelity to Hire 9,000 WorkersThe latest hiring push is its third in less than a year, reflecting an investing boom that has lifted the entire trading industry.