In one case, an ex-advisor is accused of defrauding clients with disabilities and spending their money on casinos and adult entertainment, among other things.
Archives for 2023
Xero’s D&I commitment and support of the Indigenous Voice to Parliament in Australia
Xero’s commitment to diversity and inclusion (D&I) across our global business extends to championing D&I in the communities in which we operate, including Indigenous communities globally. We believe driving better D&I outcomes can help amplify our positive impact on the world. This commitment aligns with our values and our purpose to make life better for […]
Goldman’s wealth management unit shows dip amid tough quarter
The Wall Street giant struggles amid plans to rely less on its own balance sheet and more on fees from managing others’ investments.
AI is not the enemy of accounting, but an enabler of progress – Accounting Today
AI is not the enemy of accounting, but an enabler of progress Accounting Today
IAR CE: Continuing Education Requirements For Investment Adviser Representatives And How Different States Adopt NASAA’s Model Rule
Continuing Education (CE) requirements are common for many professions, but historically there has been no minimum CE requirement for individual Investment Adviser Representatives (IARs) of advisory firms. While holders of certain credentials (e.g., CFP certificants and CFA charterholders) have CE requirements to retain their credentials, IARs without such credentials haven’t traditionally had any ongoing CE […]
Q&A with England Football legend Karen Bardsley
Ahead of the FIFA Women’s World Cup 2023, we sat down with Karen Bardsley to find out her perspective on the growth of the women’s game. Karen was goalkeeper for the England Women’s team, and she played for and now oversees the women’s teams at Manchester City F.C. Q: When you were younger, did you […]
$17B branch Concurrent picks PKS after leaving Raymond James
The hybrid RIA is “out of the woods” after completing its giant custodial and brokerage transition in recent months, CEO Nate Lenz tells FP.
#FA Success Ep 342: Scaling To $1M Of Financial Planning Fee Revenue By Specializing In The Divorce Niche, With Nancy Hetrick
Welcome back to the 342nd episode of the Financial Advisor Success Podcast! My guest on today’s podcast is Nancy Hetrick. Nancy is the Founder and CEO of Smarter Divorce Solutions, a consulting firm based in Phoenix, Arizona that provides financial expertise to individuals and couples (and sometimes, mediators and attorneys) going through the divorce process. […]
HL says no decision yet on ‘under fire’ chair
Investment provider Hargreaves Lansdown said today that no decision has been taken on whether under fire chair Deanna Oppenheimer will step down early, despite media reports suggesting she will leave soon. In a statement today the Bristol-based firm said: “No decisions have been taken at this time.” Sky News and other outlets have reported that […]
Citi earnings show struggles with wealth management ambitions
The firm’s Wealth at Work division delivered strong results while the private bank stumbled.