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.
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.
The founder of Concurrent Financial Planning opens up about his challenges—bankruptcy, self-medicating behaviors and racial microaggressions—all while searching for balance, healing and true fulfillment.
Retirement plan advisor Shane Hanson’s Viserly hopes to overcome a long-standing growth impediment: Getting advisors the data they need to better connect workplace savers with broader wealth management services.
LPL, Raymond James, Ameriprise, and Osaic were among the firms asking the commission to modify settlements concerning the supervision of off-channel communications, claiming that firms who settled later got better deals.
Did someone forward you this newsletter? Sign up here to receive it direct.
You are subscribed to this newsletter as newsletter@newslettercollector.com
To ensure uninterrupted delivery of this critical eNewsletter alert be sure to add WealthManagement.com and the reply address to your list of safe sender contacts.
