FINRA’s National Fraud and Financial Crimes Detection Programs has sent 50 cases to the SEC involving potential fraud by public companies related to COVID-19. So reports Think Advisor.
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Smart beta funds are one of the hottest trends on Wall Street and are generating…
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Since the turmoil that seized the banking sector with the mid-March failure of Silicon Valley Bank, at least 21 advisors have left First Republic Bank, with 13 heading to Morgan Stanley. So reports AdvisorHub.
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Private equity group Reverence Capital Partners is courting suitors for a minority stake in wealth…
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The NFL Players Association has approved UBS to work with current and former players through…
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Charles Schwab has captured custody assignments from five teams managing almost $9 billion in assets that have left wirehouses this year to open RIA practices with Dynasty Financial Partners. So reports Financial Planning.
Dynasty’s Jon Morris, chief legal and governance officer, says the firm is agnostic regarding which custodians advisors use. Dynasty CEO Shirl Penney says many advisors select Charles Schwab before deciding to join her firm.
Click here to read the full article from Financial Planning.
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