Total fines would have fallen significantly over 2020 if not for the $57 million penalty against the trading app Robinhood, according to law firm Eversheds Sutherland.
GeoWealth President Colin Falls on the firm's growth trajectory and how technology can ease the tension for RIAs between model portfolios and customized investment management.
The announcement that a tiny Tokyo-listed product will halt trading means every Russia-focused stock ETF in the world is now suspended or will be soon.
Vince Finney and Joe Panfil of Bibler, Finney, Panfil Private Wealth Management Group left UBS for Wells Fargo Advisors with partner Ryan Bibler in 2018. In a departure for our show that typically focuses on independence, it’s a candid conversation with a young team who didn’t break away, but instead transitioned within the traditional space.
This webinar on March 17th will offer insights into defining investor experience, increasing referrals without asking for them, and building personal brand equity to define value.
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