SEC Says Advisor Defrauded Clients on Fees
By Dinah Wisenberg BrinDavid A. Nagler and his firm allegedly overcharged clients and levied "consulting" fees without their knowledge.
June 06, 2025
DOL Retirement Unit Needs 'Major Turnaround,' Nominee SaysDaniel Aronowitz told senators he'd "strive to provide regulatory clarity" to Labor's fiduciary rule "as applied to IRA rollovers."
June 06, 2025
AI Saves Advisors 90 Minutes Per Client Meeting: F2 Strategy’s Doug FritzThis means more time to serve clients and grow their businesses in new ways, he says.
June 06, 2025
Tax Bill’s Bid to Ban New AI Rules Faces Bipartisan BlowbackA move to block states from enforcing new AI rules faces growing bipartisan objections.
June 05, 2025
Accredited Investor Qualification Bill ReemergesThe bill would update the list of certifications that would give an investor wider access to private investments.
June 05, 2025
Political Uncertainty Hangs Over Life and Annuity Sector at S&P MeetingEverything has been going pretty well for the companies, except the world.
June 05, 2025
FINRA Panel Awards $1M to Advisor Over UBS TerminationUBS said it will consider its options after the split arbitration decision.
June 05, 2025
Senators Eye Medicare Cuts to Pay for Trump Tax BillSome are looking to trim payments to health insurers that run Medicare Advantage plans.