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Advisors jumping onto Threads could create compliance headaches

Financial advisors are jumping onto Threads, but the new social media app from Meta could create a new set of compliance headaches for firms.

United statesNew yorkKim kardashianGeorge papadopoulosDouglas boneparthMark zuckerbergMitch avnetMorgan stanley etradeTyrone rossMax schatzowCullen rocheJohnny sandquistJosh brownElon muskPotomac fund managementMeta platforms inc

Advisors against the SEC s proposed custody rule changes

Representatives of the industry argue the changes would fall particularly hard on planners who are authorized to make trades on behalf of clients.

United statesBernie madoffDennis markwayGary genslerMax schatzowInvestment company instituteExchange commissionInvestment adviser associationIron horse wealth managementNew york basedInvestment advisers actRegulation and complianceCapital marketsIndependent advisorsInvestment fundsRegulatory reform

Move to JPMorgan Is Full Circle for Many First Republic Advisors

The majority of First Republic advisors came to the bank from wirehouses or large brokerages. Now, they find themselves back where they started.

United statesLouis diamondPatrick burnsMax schatzowBrian hamburgerRaymond jamesJeremy barnumBear stearnsDeposit insurance corpDeutsche bankSilicon valley bankGoldman sachsCredit suisseMorgan stanleyMany first republicFirst republic

Paycheck Protection Program loans and fraud | Financial Planning

Many advisors have clients who took out the forgivable loans. Some wealth management firms did the same. Three years after the government doled out more than $800 billion in mostly-free cash, here's what's happening.

New jerseyUnited statesFrostburg state universityUniversity of san diegoSankt peterburgMax schatzowClark kendallPerry greenZachary milamWilliam beggsThuong harvisonWilliam bagleyCarson group of omahaPaycheck protection programJustice departmentRevenue service

Paycheck Protection Program loans and fraud

Many advisors have clients who took out the forgivable loans. Some wealth management firms did the same. Three years after the government doled out more than $800 billion in mostly-free cash, here's what's happening.

Frostburg state universityUnited statesSankt peterburgUniversity of san diegoNew jerseyThuong harvisonWilliam bagleyPerry greenWilliam beggsMax schatzowClark kendallZachary milamSprague wealth solutionsSmall business administrationWaddell associates in memphisFinancial network of minneapolis

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