Atlas Financial To Pay $175,000 Due To Marketing Rule Violation
Atlas Financial Advisors, has agreed to pay $175,000 to settle allegations that it violated the SEC's marketing rule.
Recent
Bank CEO Introduces Year-End Recharge Period to Support Employee Well-Being
As a wealth advisor or Registered Investment Advisor (RIA), you know the importance of maintaining balance, both professionally and personally.
RIA Compensation Rose 17% From 2019 to 2023 According To Schwab
Competition for talent among registered investment advisors (RIAs) remains intense. Compensation for advisors rose 17 percent from 2019 to 2023.
Requirements For Obtaining And Maintaining CFP Designation Are Being Revised
The CFP Board is revising the requirements for obtaining and maintaining the Certified Financial Planner designation, seeking feedback from the public
Advisor Arrested On Charges Of Obstructing An Official Investigation
A Texas based investment advisor, Brooklynn Willy, has been arrested on charges of obstructing an official investigation into alleged investor fraud.
Barred Broker Fined By The SEC Over Trading Scheme
The SEC has fined a barred broker, Christopher Booth Kennedy, $2.1 million for allegedly orchestrating a trading scheme causing losses to his clients.
Why Technology Has Enhanced, Not Replaced, Financial Advisers
For years, conventional wisdom has suggested that artificial intelligence and robo-advisers would replace a significant number of financial advisers.