'The 2022 Report on FINRA’s Examination and Risk Monitoring Program' also looks at firms’ Form CRS compliance and approaches in working with clients via mobile apps.

YieldX has added wealth technology veteran Edmond Walters, founder of eMoney Advisor and Apprise Labs, to its board of advisors.

He was a person of honor and integrity—a real 'mensch.' And he will be missed.

And should RIAs be looking at DC plans?

James Iannazzo’s tirade in a Fairfield, Conn., smoothie shop was captured on video and viewed by millions. The CFP’s suspension comes after Iannazzo was arrested and charged by Fairfield police, and dropped by Merrill Lynch.

The SEC charged Michael M. Beck for recommending penny stocks to his millions of Twitter followers under the handle '@BigMoneyMike6,' while selling his shares once the prices climbed.