Investmentnews Email Newsletter: Colorado advisor barred for risky options trading (June 27, 2024)

The pulse of the financial advisory industry

TOP NEWS

Colorado advisor barred for risky options trading

The advisor recommended over 11,000 trades over a roughly six-year period, with 90 percent in options, according to the state's consent order in the case.

Gold has been shining in the past year and advisors are taking notice.

PREMIUM

Enhancing rational decision-making in wealth management

How Orion Wealth Management’s innovative strategies and tools strengthen client relationships and improve investment outcomes

Despite attacks on environmental, social, and governance data being used, one former Congressman said he is hopeful about climate investing.

VIDEO

Advisors leveraging partnerships, strategically outsourcing to grow businesses

Axos Clearing's David Crow offers perspective on the continued rise of strategic outsourcing in the financial advisory business, and how data is being used to create a better environment for advisors.

WATCH MORE

Why transition planning for Asian clients is 'very complex'

"There's a lot of underserved clients in the space and they need a lot of help," says an advisor to the community.

MORE NEWS

Ex-Sanctuary CEO Jim Dickson launches new firm for growth-focused RIAs

The venture co-founded with Mark Penske, which will take strategic stakes in independent partner firms, is starting strong with a deal to snap up a $3.4B OCIO.

The TAMP will help expand advisors’ access to BlackRock’s private markets, direct indexing, and fixed income SMAs.

The independent RIA unveils leadership additions, including its first-ever chief technology officer, in a redoubled commitment to attract top talent.

Severing a 22-year-old affiliation, the advisory firm with a comprehensive planning focus will serve as an OSJ at the IBD and RIA giant.

The $7B RIA has launched a dedicated wealth unit, led by a respected authority and backed by family offices in a key market.

The six largest lenders bought back more than $14B in shares in the first quarter as regulators hint at "lite" version of new rules.

Fed survey finds three-tenths of high-income consumers are concerned about their finances in the next six months.

OTHER NEWS

T. Rowe Price forecasts 2024 market adjustments with limited rate cuts

T. Rowe Price predicts fewer rate cuts and sees new opportunities in equities and bonds for 2024.

Colorado advisor barred for risky options trading

This email was sent

Country:

Tags