GP Wealth

Dealer firm fined for KYC oversight failures

New SRO compliance review finds over 100 clients exposed to high-risk strategy

Advisor banned for life after borrowing nearly a million dollars from clients

One loan was solicited for the purpose of starting a medical marijuana business

Ex-fund rep fined for secret dealings with clients

Ex-dealing rep paid for leveraged investments he'd recommended, and borrowed $110,000 from a senior

Rick Headrick named as new IFIC board chair

Investment industry veteran to head institute's board of directors for two-year term

IFIC welcomes four new directors

Industry organization announces board for 2020-2021 fiscal year

CRM2 proving to be a boon for enterprise providers

As the rush to become compliant with the new requirements of CRM2 intensifies, the software tools associated with conforming to the new regulations have advisors knocking on the doors of third-party providers

Proactive approach spurs active growth

As many firms are retooling and refocusing to meet the new requirements of CRM2, one company is taking that a step further through the redevelopment of its website and advisor planning tools.