Finance News
Avantax CEO Chris Walters Will Step Down After Merger With Cetera
The news comes as Avantax faces three lawsuits and "multiple" demand letters from stockholders asking the company for additional financial disclosures.
By NB
Nov 15, 2023
FINRA Fines Canadian Firm For Reg BI Violations
Haywood USA failed to do due diligence for approximately 134 sales recommendations of private placement offerings totaling nearly $11 million, breaking FINRA rules and violating the SEC's care obligations.
By NB
Nov 15, 2023
Financial Literacy Is Key to the Client/Advisor Relationship
An advisor’s role should include helping clients become more fluent in what may be the world’s most consequential language.
By NB
Nov 15, 2023
Why Do I Keep Hearing About Private Equity?
Today, a broad structural shift is underway with private markets becoming larger, more diverse, and more available to companies and investors than ever before.
By NB
Nov 15, 2023