Regulatory & Compliance
In early November, the U.S. Supreme Court will hear arguments on behalf of Denise Badgerow, a Louisiana financial advisor. Badgerow wants to have a state court vacate a FINRA arbitration ruling instead of following a federal court’s decision to confirm the regulator’s award. So reports Advisor Hub.
Markets & Investments
Technology & Communications
Forbes Advisor recently compiled a list of the 10 Robo-Advisors with the most assets under management. The data comes from each firm’s form ADV filed with the SEC.
- Most read