Mindy Diamond on Independence: What Made Selling the Right Path for This $2B Firm

Oct 13, 2022

NCA Financial Planners' Kevin Myeroff discusses his thought process around succession and why he ultimately chose to sell his firm to Sequoia Financial.

The Wealth Management Firm of the Future: WealthTech to Watch

Oct 13, 2022

Pershing's Bill Bruckner dives into the key findings from the latest “NEXT: Wealth Management Firm of the Future” Research report.

When Succession Plans Fail, Keep Trying

Oct 13, 2022

Advisors looking for someone to take over their practice may find the second—or third—time’s the charm.

FINRA Suspends Rep in First Reg BI-Related Action

Oct 12, 2022

Charles Malico, a former broker with Network 1 Financial Securities, will also pay a $5,000 fine. The disciplinary action follows the SEC’s first violation notice issued earlier this year citing the new standard.

Grayscale Brief Says SEC Unfairly Rejected Bitcoin ETF Bid

Oct 12, 2022

The rejection over the risk of fraud and manipulation in the spot Bitcoin market is “capricious” and “discriminatory,” Grayscale wrote in a court brief.

Galvin Accuses RIA of Failing to Supervise Risky ETF Recommendations

Oct 12, 2022

The order concerning New Harbor Financial Group's recommendation of an inverse leveraged ETF comes several months after the commonwealth secretary announced an investigation into b/ds distributing single-stock ETFs.

WMIQ Study: Next-Gen and Established Advisors Report

Oct 11, 2022

This study uncovers several key differences in both approach and value proposition between Next-Gen Advisors and Established Advisors