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Massachusetts Solicits Preliminary Comments on Proposed Fiduciary Rule

The Massachusetts Securities Division plans to enter the state fiduciary rulemaking ring and is seeking preliminary comment on a proposed regulation that would apply...

FSI Comments on New Jersey’s Proposed Fiduciary Rule

The Financial Services Institute, a trade group representing independent financial advisors and financial services firms, has submitted a 12-page comment letter to the New...

Atria Wealth Solutions Adds General Counsel to Executive Team

Atria Wealth Solutions, Inc. (Atria), a wealth management holding company, has hired Patricia Solfaro as general counsel. In this executive management role, Solfaro will focus...

FINRA Bars Former LPL Rep

Financial Industry Regulatory Authority has barred former LPL Financial representative Jason Nelson for refusing to provide testimony to regulators in connection with his termination...

Massachusetts Regulators Halt Million Dollar Real Estate Investment Scheme

The Massachusetts Securities Division has charged an Illinois man for selling unregistered securities to Massachusetts investors totaling nearly $1 million for various real estate...

Blucora Hires Former Cetera Exec as President of Wealth Management

Blucora Inc., a firm focusing on wealth management and tax preparation, has named Enrique Vasquez as president of wealth management, where he will be...

SEC Bars Former Royal Alliance Adviser Sentenced for Multi-Million Dollar Fraud

The Securities and Exchange Commission has barred Kimberly Kitts, a former Royal Alliance adviser, who pleaded guilty late last year to criminal charges including...

SEC Approves Investment Advice Rule Package

On Wednesday, the Securities and Exchange Commission voted 3-1 along party lines and approved its four-part package of regulations aimed at reforming investment advice...

Artivest Hires Former Raymond James Alternative Investment Platform Exec

Artivest, a digital platform for alternative investing, has hired former Raymond James executive James Hale as head of platform, a newly created position for...

Independent Broker-Dealers and RIAs Expect Higher Revenues in 2019

ADISA, a trade association representing the retail alternative investment space, has released the results of its inaugural market prediction survey, which was conducted with...