Della J. Ruff

The latest chapter in the feast of love between a New York-based fintech and a Swiss banking giant involves an alternative platform worth $7 billion in client assets changing hands. Officials from iCapital and UBS announced on Tuesday that the two entities have reached an agreement in which iCapital willRead More →

Anyone who has ever tried to save money knows how complicated managing financial goals can be. You leave with the best intentions in the world, but it’s all too easy to get distracted by unexpected expenses or a sudden drop in income. It may seem like your financial goals areRead More →

Alpine Securities, a brokerage firm struggling expulsion from FINRA and is pursuing legal action against its last two CEOs, has a new skirmish: a separate SEC case that it says should be industry-wide. Salt Lake City-based Alpine Securities has had mixed results in its long and repeated run-ins with regulators.Read More →

Nearly two years after a former financial adviser settled a state case alleging he defrauded clients of millions of dollars, he faces 10 counts of criminal fraud. Ronald W. Hannes, an advisor at Advisor Group’s Woodbury Financial Services, directed $2.9 million from at least 19 clients by having them writeRead More →

National Securities, a Florida-based brokerage firm, is no longer. The 75-year-old company, acquired by B. Riley Financial last year, has now fully integrated its 575 independent brokers and financial advisers into its parent company. As part of the transition, National has officially adopted the B. Riley brand and transferred itsRead More →

The International Association of Registered Financial Consultants (IARFC®) is pleased to be invited to the Money Concepts Financial Planning Congress 2022 to be held at The Lodge at Spruce Peak in Stowe, Vermont. During July 10-13the Association will connect with Money Concepts representatives who are members and seek to introduceRead More →

Two of the industry’s biggest hiring and M&A deals this year reflect a market that experts say is not slowing from its record pace, despite some signs of slowing. On May 21, the approximately 550 financial advisers of CUNA Mutual Group CUNA Brokerage Services and the first $11 billion ofRead More →

Whether you’re attending college or a career-training school, you may have difficulty obtaining a student loan if you intend to enroll in just a few courses every semester. Numerous lenders demand borrowers to be enrolled in school at least half-time. What you should know if you are a part-time studentRead More →

As wealth managers slam SEC cases as ‘regulation by execution’, one company has agreed to pay what is probably the biggest settlement to date in the series execution actions. City National Rochdale, an RIA subsidiary of City National Bank and New York-based parent RBC, will pay $30 million to settleRead More →