money-stack-closeup.jpg
NASAA Approves Model Act for Restitution Assistance Funds
May 19, 2021
The new act would help victims of securities violations get some money when they have not received full payments, and includes higher awards for 'vulnerable persons.'
leighann-miko.jpeg
Michael Kitces' #FASuccess Podcast: How Leighann Miko Created Financial Security for Herself and Her Clients
May 19, 2021
Equalis Financial's Leighann Miko describes how she was able to achieve financial security for the first time by focusing on serving a niche community that she belongs to herself.
Transparency with Diana B podcast
Transparency with Diana B: Dealing with the Emotional and Physical Abuse of the Past
May 19, 2021
Kestra Private Wealth Services CEO Rob Bartenstein opens up about the emotional and physical abuse and financial hardships he experienced as a child. But it developed a resiliency that he has carried with him throughout his life.
TN.png
Sponsored Content
Succession Planning: The Challenges Financial Advisors Are Facing
Jul 14, 2021
Watch as Todd Fulks, Sr. Vice President Succession Planning & Business Acquisition, Advisor Group, talks with Wealthmanagement.com about the challenges that financial advisors are facing and talks about the “10 pieces of the puzzle” for a...
Zoe Financial CEO and founder Andres Garcia-Amaya
Lead-Gen Developer Zoe Financial Raises $10 Million
May 18, 2021
Led by Softbank, Zoe has raised cash to improve its user experience and make new hires in a competitive niche.
PIABA President David Meyer
PIABA: FINRA Arbitrators Grant Expungements 90% of the Time
May 18, 2021
PIABA urges FINRA to establish an Investor Advocate position to ensure valid customer complaints are not expunged from brokers' CRDs.
Merrill Lynch
CFFP Adds Sports and Entertainment Designation to Growing List of Professional Certifications
May 18, 2021
Merrill Lynch advisors will have exclusive access to the designation for a year before the College for Financial Planning opens up the course to others.
handcuffs money
Former Raymond James Rep Sentenced to Five Years for Defrauding Elderly Investors
May 17, 2021
Frederick M. Stow pleaded guilty last year for stealing more than $930,000 in funds from two unnamed elderly investors, according to the Department of Justice.
Load More