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William Galvin
Regulation & Compliance
New Jersey B/D Fined by MassachusettsNew Jersey B/D Fined by Massachusetts

Summit Equities will pay $100,000 for failing to supervise reps who mishandled clients’ personal information.

byDiana Britton, Managing Editor
Dec 31, 2018
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1 Min Read
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Fintechs Expected to Continue Rolling in 2019Fintechs Expected to Continue Rolling in 2019
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Dec 31, 2018
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iCapital CEO Lawrence Calcano
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iCapital and Rockefeller Strike PartnershipiCapital and Rockefeller Strike Partnership
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Dec 22, 2018
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Americans Put Advisor Meetings on Par With Medical CheckupsAmericans Put Advisor Meetings on Par With Medical Checkups
bySamuel Steinberger
Dec 22, 2018
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ETFs
For the Nervous Investors on Your List, Gift These 15 ETFsFor the Nervous Investors on Your List, Gift These 15 ETFs
byWealthManagement.com Staff
Dec 21, 2018
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Josh Brown
Financial Planning
How a Twist on a Familiar Fee Model Helps Clients at Ritholtz Wealth ManagementHow a Twist on a Familiar Fee Model Helps Clients at Ritholtz Wealth Management
byMichael Thrasher
Dec 21, 2018
2 Min Read

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