Carson Group Turmoil Raises Big Questions
By Dinah Wisenberg BrinExperts speak out on how the firm seems to have fallen short and what should be done in response.
April 23, 2024
Ex-Carson CMO Sues Firm Over Handling of Sexual AssaultMary Kate Gulick says the firm retaliated after she voiced concerns that the alleged assailant wasn't fired.
April 22, 2024
RIA Deals Surged to Near Record in Q1: EchelonThe 90 announced transactions represented a year-over-year increase of 20%, a new report says.
April 18, 2024
New SEC Risk Alert Points to 5 Marketing Rule Trouble SpotsThe alert lists compliance shortfalls advisors should fix before examiners come knocking.
April 18, 2024
Summer Program for Future Planners Is BackThe organizer also has launched the Internship/Externship Program to help firms improve their internship efforts.
April 15, 2024
Schwab Beats Q1 Revenue Target After Tough YearThe final 10% of TD Ameritrade advisors and clients are moving to Schwab in May, says CEO Bettinger.
April 12, 2024
Dani Fava, Former Envestnet Exec, Jumps to Carson"This is exactly the forward-thinking, client-centric organization I want to be a part of," Fava said.
April 12, 2024
SEC Hits 5 RIAs With Marketing Rule FinesThe firms have agreed to pay $200,000 in combined penalties over their use of hypothetical performance in ads.