| | | | | Jim Nagengast submitted his complaint against his former firm under seal, so the details of the allegations are unknown. But attorneys pledged to release a redacted copy soon. Read More > |
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| | | According to Ohio Securities Commissioner Andrea Seidt, the new module is based on a state-specific module launched in 2023, and can help advisors signify to clients that they’re “there to help.” Read More > |
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| | | The effort would reflect a fundamental restructuring of how formerly independent agencies implement and enforce federal laws. Read More > |
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| | | Zephyr's Ryan Nauman and Horizon Investments' Clark Allen discuss the trends and future of ETFs, emphasizing the importance of connecting investment products to client goals through goals-based planning. Read More > |
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