Broker must pay his old firm $17.7M to cover REIT settlements
Financial Planning
by Dan Shaw
13h ago
Mark Sam Kolta was at National Securities for nearly four years before its sale to B. Riley. While there, he managed to rack up more than two dozen customer complaints that were eventually settled for millions ..read more
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Carson Group launches tax program led by veteran planner
Financial Planning
by Tobias Salinger
15h ago
Debra Taylor is spearheading a new program entailing education for financial advisors, guides for clients and technology integrations ..read more
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Tech spending on the rise while advisors use just 60% of their tools
Financial Planning
by Rob Burgess
15h ago
The 2025 Orion Advisor Wealthtech Survey indicates that more than half of financial advisors plan to increase their investment in technology — and that many aren't using large parts of their existing tech stacks ..read more
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Clearing firm to pay $3.2M for not paying client fees on borrowed securities
Financial Planning
by Dan Shaw
17h ago
Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would receive compensation for lending out their brokerage holdings ..read more
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Portfolio rebalancing comes with $16B price tag, study finds
Financial Planning
by
17h ago
Opportunistic competitors anticipating trades are swooping in first, moving prices, according to a recent study ..read more
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Should parents be saving for their child's retirement?
Financial Planning
by Lee Hafner
17h ago
A new survey from Prudential predicts how the new generation's future will look, and what kinds of financial challenges this will create ..read more
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Trump signs executive action to create sovereign wealth fund
Financial Planning
by Jenny Leonard, Katherine Burton
22h ago
There are 20 states that have sovereign wealth funds, generally funded by commodities or land, that might serve as models ..read more
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Heads up, RIA compliance teams: It's past time to green-light testimonials
Financial Planning
by Brian Thorp
23h ago
For financial advisors, the hardest part of soliciting and posting SEC-compliant reviews can be overcoming reluctance on the compliance end ..read more
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Student-athletes need an assist with NIL taxes
Financial Planning
by Tobias Salinger
2d ago
Young athletes are raking in as much as several millions of dollars a year, but the nascent legalized pay for student-athletes needs reforms, a new study said ..read more
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Trump tariff uncertainty rattles clients as advisors look for hedges
Financial Planning
by Rob Burgess
2d ago
Advisors say they are watching these changes closely, making portfolio adjustments where needed and generally reassuring nervous clients that they have planned for this sort of volatility ..read more
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