FINRA Fines BD $750K Over Texting
By Melanie WaddellBenjamin Edwards didn't supervise employees' messaging nor preserve and review reps' business-related texts, the order states.
February 02, 2026
How Wealth Management M&A Played Out in 2025Deal volume among RIAs with more than $100 million in AUM set a record, Berkshire Global Advisors finds.
February 02, 2026
Political Analyst Greg Valliere to RetireValliere, AGF Investments' chief policy strategist, plans to step down at the end of February.
February 02, 2026
AI Leads Family Office Investment Themes: JPMorganThey increasingly favor investments in the infrastructure and services powering the AI boom, a Private Bank exec says.
February 02, 2026
Vanguard Cuts Fees on 53 FundsWhile the reductions benefit investors, "the race to zero has largely been run," Vanguard watcher Jeff DeMaso says.
January 30, 2026
Strategist Warns Against a Hidden Threat in Private EquityPeter Dziedzic says life and annuity professionals can end up facing invisible conflicts of interest.
January 30, 2026
STRATxAI Taps Scott MacKillop for Advisory BoardThe founder of First Ascent Asset Management is widely recognized as a pioneer in the TAMP industry.
January 30, 2026
FINRA Hits Another BD With Reg BI, Form CRS FineGMS Group fell short on written supervisory procedures, according to the regulator.