The Financial Planning Association (FPA) has established a new group intended to take over the responsibilities and membership of the FPA of New York.
Thank you for your professional assistance with this matter. You are very good at what you do.
The Financial Planning Association (FPA) has established a new group intended to take over the responsibilities and membership of the FPA of New York.
Amidst swirling speculation regarding its connections with a client linked to the Prophecy Asset Management collapse, B. Riley Financial Inc. has conducted an internal
review, concluding no affiliations with the defunct hedge fund.
A recent analysis by Golsan Scruggs reveals a staggering 231 percent increase in errors-and-omissions (E&O) liability claims among registered investment advisor (RIA)
insurers.
According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.