SEC Texting Sweep Hits 12 Muni Advisors

Published on September 17, 2024

The advisors agreed to pay more than $1.3 million for failure to preserve off-channel communications.

       
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Schwab Expects Revenue to Rebound After Slump Earlier This Year

September 17, 2024
Fewer customers are shifting money in search of higher yields, the firm reported Monday.      Related Stories'Sandwich Generation' Women Want Financial Advice: StudySelectQuote Sees Drop in Medicare Plan Sales Due to Payment DelayWealth.com's New Backers Include Venture Capital Arm of Alphabet

RIA Edge Podcast: Talent Development and Client Engagement with Nate Lenz

September 17, 2024
Concurrent's Nate Lenz describes the firm's unique model for allowing advisors to thrive while maintaining their brand identity.