Financial Services Institute CEO Dale Brown opposes the DOL decision, arguing the rule offers 'much-needed certainty' for advisors who opted to be independent contractors.
Asset managers and many advisors are waving red flags around FINRA's proposal to craft new rules for "complex products," which could make it harder to invest in leveraged funds. But one group representing investors...
The application to open a trust company is the Canadian financial services firm’s latest development in a busy two years after first entering the U.S. RIA space.
Skafco, which includes financial planners Rod Skaf and Wayne Niles, operates out of Dublin, Ohio; both planners have more than three decades of experience in the industry.
Dimple Shah will join as Executive Vice President or Corporate Strategy and Iryna Northrip will come onboard as CCO, Investment Strategy, according to the network of independent wealth management firms.
According to the Justice Department, Jeffrey N. Crossland conspired to defraud four churches and a real estate development company of more than $3.5 million.
The additions of Pedie Monta and McKennon 'Mac' Laas will grow the division that launched in December focused on clients with significant land holdings, including oil and gas reserves.
The Crypto Asset and Cyber Unit will increase to 50 positions; Commissioner Hester Peirce questioned why the commission was 'leading with enforcement in crypto?'
