Finance News
Ron Carson Steps Down as Carson Group CEO
Managing Partner and Chief Strategy Officer Burt White will take over for Carson as chief executive of the $35.5 billion AUM RIA.
By NB
Apr 10, 2024
Texas Firm, Suspended Rep Are FINRA’s Latest Reg BI Targets
The brokerage regulator settled two cases related to the SEC’s rule this week; one securities attorney believes FINRA has now established itself as the “primary regulator” of the rule.
By NB
Apr 10, 2024
Q&A: AlTi Global CEO on Going Public in a Challenging Market
Michael Tiedemann talks about taking two companies public via SPAC, raising capital and what he and his partners are building at AlTi Tiedemann Global.
By NB
Apr 10, 2024
LPL Adds $300M Kentucky Team from Ameriprise
The Somnio Wealth team in Louisville, Ky., joins LPL after 14 years with Ameriprise.
By NB
Apr 10, 2024