Should FAs Be Tested for Cognitive Decline?
“None of us is immune from capacity issues down the line,” according to Kyle Witschen, director of compliance at Raymond James.
August 8, 2022
Morgan Stanley Agrees to Pay $200M Over Employee Communications
The firm has reached a settlement with the SEC and the CFTC over record-keeping practices related to its staff’s use of unapproved devices.
FAs Weigh In: Alts Key to Client Portfolios
These advisors advocate alternatives for diversification and potential enhanced returns.
Fidelity Taps Instagram Influencers to Reach Women
A social medial campaign that involved influencers with at least 100,000 Instagram followers is part of a broader appeal Fidelity is making to women.
One Seven Merges with MGO to Form $2.8B RIA Firm
Private equity firm Merchant Investment Management has made a minority investment in One Seven as part of the deal.
Judge Bars Ex-Morgan Stanley FA Charged in $4.8M Ponzi Scheme
The SEC had accused Shawn Good for spending money on luxury cars, credit card bills and more.
70% of Aging Adults Want In-Home Care. Can They Afford It?
While most aging Americans would prefer to stay at home as they get older, 57% have yet to consider a budget for what their at-home healthcare may cost.