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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News

LPL Facing SEC Fine as High as $50M Over Texts, App Use

By Melanie Waddell

Two weeks ago, 16 other firms agreed to pay more than $81 million for similar issues.

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Q&A

Estate Planning Is 'Next Frontier' for Advisors: Steve Lockshin

By Jane Wollman Rusoff

"This is true for anybody who has any wealth at all," the Vanilla founder tells ThinkAdvisor.

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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

Corebridge Still Bullish on Fixed Annuity Sales

By Allison Bell

CEO Kevin Hogan reported that surrenders have been within expectations.

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News

California Legislature OKs Annuity Sales Rule Update

By Allison Bell

Approval gives Gov. Gavin Newsom a chance to weigh in on financial services regulation.

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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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