Investmentnews Email Newsletter: Ex-RayJay advisors barred over unapproved product sales (June 26, 2024)

The pulse of the financial advisory industry

TOP NEWS

Finra bars two ex-Raymond James advisors who sold unapproved products

Firms must take reasonable steps to avoid financial advisors' selling away, one compliance expert noted.

A Loomis Sayles fixed income strategist explains what happened and offers guidance on what investors can expect in the second half of 2024.

PREMIUM

Enhancing rational decision-making in wealth management

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

Nearly 90 percent of people told Schroders they are worried about the presidential election, and savers are overweighted in cash, the company found.

VIDEO

How leveraging unified managed accounts can increase advisor efficiency

Osaic Senior VP Shannon Larson sits down with InvestmentNews anchor Gregg Greenberg to discuss the trends in UMAs and how advisors can increase their efficiency through collaboration.

WATCH MORE

How this RIA lets clients be their own CEO

‘Part of our value proposition is we're always going to keep you from doing something you’ll regret,’ advisor says.

MORE NEWS

Wealth tech startup Altruist unveils new tax management suite

The fintech provider’s new tools let RIA clients automate tax-savings strategies, including tax-loss harvesting and gains deferrals.

Pulse survey of advisors by Blackstone finds overwhelming majority allocated to private markets, and factors in manager selection.

The ultra-high-net-worth RIA’s latest hire comes with experience from TIAA/Nuveen, UBS, Barclays, and the Federal Reserve Bank of New York.

As CIO, Welch brings more than 25 years of experience, including time at WisdomTree and Dynasty Financial Partners.

The independent RIA is helping more employers offer retirement benefits with cost-effective 401(k) and PEP plan options.

Pinpointing several hotspots, the Federal Reserve governor is standing pat on projecting no rate cuts this year.

The $430B slide in the vaunted AI stock hasn't scratched the long-term story, according to Steve Eisman.

OTHER NEWS

Over 3 in 4 employees optimistic about AI's impact at work: survey

Concerns remain about effect on mental health, work-life balance, job security

Ex-RayJay advisors barred over unapproved product sales

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