In a call for a class action lawsuit, Daniel Varady argues that Wells customers “received artificially and unreasonably low rates” on uninvested cash swept into deposit accounts.
The Pacific Financial Group highlighted hypothetical performance in ads in a way that violated the commission’s marketing rule, according to a settlement order released Friday.
According to the firm’s two recent quarterly filings, Raymond James has reached “a settlement in principle” with the commission’s Enforcement Division, including a $50 million fine.
Don Bennyhoff, who was at Vanguard for nearly 23 years, hopes to differentiate his new firm by helping RIAs demonstrate their value beyond investment management.
Many factors—professional and interpersonal—influence whether you are better served exploring together or alone.
New GenAI-driven technologies can help wealth management firms enhance their customer understanding, streamline operations and deliver more personalized and effective services.
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Louis and Jason Diamond share a “state of the recruiting industry” report for the first half of 2024, with perspectives on what to expect for the rest of the year.
