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SEC building
Regulation & Compliance
Pruco Securities Settles With SEC Over Wrap Fee ViolationsPruco Securities Settles With SEC Over Wrap Fee Violations

The Prudential subsidiary has agreed to pay $18 million in disgorgement, interest and penalties, to settle SEC charges.

byDiana Britton, Managing Editor
Dec 23, 2020
|
2 Min Read
shuffleboard-cruise.jpg
Retirement
Northwestern Mutual Survey: Millennials Just Want to Retire, Boomers Can't Stop WorkingNorthwestern Mutual Survey: Millennials Just Want to Retire, Boomers Can't Stop Working
bySamuel Steinberger
Dec 23, 2020
1 Min Read
digital finance cybersecurity
WealthTech
Apex Clearing's Parent Firm Buys Options Tech ProviderApex Clearing's Parent Firm Buys Options Tech Provider
bySamuel Steinberger
Dec 23, 2020
1 Min Read
invesco
ETFs
Invesco Debuts Four Nontransparent Active ETFsInvesco Debuts Four Nontransparent Active ETFs
byDiana Britton
Dec 22, 2020
1 Min Read
Chalres Schwab
Regulation & Compliance
Charles Schwab Hit With $12M Fine Over Inadequate SafeguardsCharles Schwab Hit With $12M Fine Over Inadequate Safeguards
bySamuel Steinberger
Dec 22, 2020
2 Min Read
FlahartyAssetManagement_HS-preview-359.jpg
RIA
Two Florida RIAs Merge to Create Firm Approaching $1 BillionTwo Florida RIAs Merge to Create Firm Approaching $1 Billion
byDiana Britton
Dec 21, 2020
1 Min Read

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WealthTech
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Raymond James Financial
M&A
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Paulette and Beaux Treguboff
RIA
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Regulation & Compliance
FINRA Seeks Firms' Feedback on COVID-19
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RIA
Merchant Buys Minority Stake in Miracle Mile
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Dec 16, 2020
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1 Min Read
byDiana Britton, Managing Editor
vise-computer-portfolio.jpg
WealthTech
Vise Raises $45M in Series B, Adds Second Sequoia Board Member
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Dec 16, 2020
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LPL Financial
WealthTech
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Dec 15, 2020
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SEC Headquarters
Regulation & Compliance
SEC Director of Division of Trading and Markets Brett Redfearn to Depart
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Dec 15, 2020
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2 Min Read
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White Oak Investment Management Lynn Daughtry and Kyle Conger
Industry News & Trends
Wells Fargo Team With $215M in Assets Joins LPL
Wells Fargo Team With $215M in Assets Joins LPL
Dec 14, 2020
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byPatrick Donachie, Senior Reporter
finra
Regulation & Compliance
FINRA Boosts Regulatory CE Requirements
FINRA Boosts Regulatory CE Requirements
Dec 14, 2020
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bitcoin dollars
Alternative Investments
Bitcoin's Climb Divides Technologists, Institutions
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Dec 14, 2020
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Stock market
ETFs
Fund Administrator Nottingham Files to Convert Mutual Funds to ETFs
Fund Administrator Nottingham Files to Convert Mutual Funds to ETFs
Dec 11, 2020
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Envestnet
WealthTech
Envestnet and Vestwell Are Teaming Up
Envestnet and Vestwell Are Teaming Up
Dec 11, 2020
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1 Min Read
bySamuel Steinberger, Senior Technology Editor
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RIA
Geneos Wealth Management CEO Russell Diachok Retires From Post
Geneos Wealth Management CEO Russell Diachok Retires From Post
Dec 10, 2020
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byDiana Britton, Managing Editor
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WealthTech
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WealthTech
PreciseFP Integrates With AdvicePay
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CFP Board office.
Career Moves
CFP Board Center Touts All-Time Highs in Scholarships, Awards
CFP Board Center Touts All-Time Highs in Scholarships, Awards
Dec 9, 2020
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byPatrick Donachie, Senior Reporter
Wealth Enhancement Group
Financial Planning
Wealth Enhancement Group Acquires SVA’s Wealth Management Biz
Wealth Enhancement Group Acquires SVA’s Wealth Management Biz
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securities america
Industry News & Trends
Symmetry Financial Solutions Moves Business to Advisor Group’s Securities America
Symmetry Financial Solutions Moves Business to Advisor Group’s Securities America
Dec 8, 2020
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byAsia Martin, Reporter
The Merrill Lynch bull logo.
Regulation & Compliance
Merrill Lynch Pays $26 Million To Settle New Hampshire Charges
Merrill Lynch Pays $26 Million To Settle New Hampshire Charges
Dec 7, 2020
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2 Min Read
byPatrick Donachie, Senior Reporter
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RIA
Patrick Mahoney Permanently Named CEO of FPA
Patrick Mahoney Permanently Named CEO of FPA
Dec 7, 2020
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byAsia Martin, Reporter
LPL Financial sign
RIA
LPL Adds $900M Team From Cambridge
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RIA
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focus financial
Industry News & Trends
Connectus Follows in Focus Financial's Footsteps, Acquires Three Aussie Firms
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Investment
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JPMorgan
WealthTech
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Marty Bicknell Mariner Wealth Advisors
Industry News & Trends
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Laird Norton
RIA
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Laird Norton, Filament Merge to Create $6 Billion RIA
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