Feb 23, 2024 View in Browser

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News

Ex-Broker Hit With Reg BI Fine, Suspension

By Melanie Waddell

A former Network 1 Securities rep recommended excessive trades in a 63-year-old client's account, FINRA says.

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Slideshow

Best & Worst Broker-Dealers: Q4 Earnings, 2023

By Janet Levaux

Six large BDs reported a drop in earnings in the final quarter of 2023.

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News

LPL Snaps Up $16B in Wintrust Assets

By Janet Levaux

The IBD will also move about 85 advisors onto its Institution Services platforms.

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News

Wells Fargo Adds Role to Boost Growth in FiNet, First Clearing

By Janet Levaux

Erik Karanik, who joined the bank in 1990, now leads Independent Solutions for its Wealth & Investment Management unit.

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News

DOL: Retirement Plan Administrator Embezzled $5.5M

By Dinah Wisenberg Brin

A firm and its owner transferred assets from 17 plans into their own corporate accounts, the department says.

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News

Ed Yardeni: S&P Could Hit 5,400 by Year-End

By Dinah Wisenberg Brin

The investment expert said the stock market is experiencing "the roaring 2020s," led by Nvidia.

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Resources

Product Reframed: A Guide to Thinking Differently About Guaranteed Lifetime Income

Sponsored by: Allianz Life Insurance Company of North America

In an era where retirement security is a growing concern, you have a large role to play in helping plan participants secure their financial future. Yet a significant opportunity lies untapped: guaranteed lifetime income.

LEARN MORE

WEBCAST DATE: February 29, 2024

The State of Contracts For Law Firms: Making the Case for Contract Automation in 2024

This webcast will unpack the most common challenges firms face in implementing new technology—like employee onboarding and proving value—and show you strategies to overcome them.

LEARN MORE

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