Tagged with "M&A"

Potential Downturn Predicted for RIA Mergers and Acquisitions

Posted on July 26th, 2023 at 9:44 AM
Potential Downturn Predicted for RIA Mergers and Acquisitions

According to DeVoe & Company's second-quarter RIA Deal Book report, RIA mergers and acquisitions (M&A) are experiencing a decline.

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LATEST NEWS AND ARTICLES

November 24, 2025
Kyle Busch Alleges Considerable Losses in Indexed Universal Life (IUL) Scheme

Kyle Busch, a two-time NASCAR Cup Series champion, and his wife Samantha announced that they lost more than $8.6 million in what they describe as a “devastating financial scheme” involving an Indexed Universal Life (IUL) insurance policy.

November 21, 2025
FINRA Fines Independent Financial Group for Allowing Suspended Broker to Place Trades

The Financial Industry Regulatory Authority (FINRA) issued a censure and $100,000 fine against Independent Financial Group (IFG) after finding that the IFG allowed a suspended and statutorily disqualified broker to continue placing trades.

November 20, 2025
Supreme Alliance Fined for Failure to Supervise Variable Annuity Sales

The Financial Industry Regulatory Authority (FINRA) has fined Supreme Alliance $80,000 for failing to supervise recommendations and exchanges involving deferred variable annuities, as well as for failing to document background checks for newly hired registered representatives.