Most investment advisors look warily at the SEC. But some smaller advisors are envious of an advantage that larger firms registered with the agency have when it comes to advertising. The Securities and Exchange Commission’s marketing rule allows investment advisors for the first time to use client testimonials, endorsements and...
Financial planner Brenda Morris and nearly all her clients have something in common: They avoid eating, wearing or using anything that comes from animals. Morris and her Virginia-based firm Humane Investing have found a niche with vegans. For decades, there’s been a growing movement of consumers who avoid animal products. But...
TIAA has overhauled the senior leadership of its wealth management business. The New York City-based financial services firm has added six new leaders, all coming from other firms. Four of them will join the wealth distribution team, while the other two will be a part of the wealth chief operating...
This week, one of the hallmark events centered on curbing global warming — NYC Climate Week — convened sustainability experts and evangelists from around the world in one place. The event, which coincides with the United Nations General Assembly, has become a must-attend occasion for people in the field, mixing...
The Securities and Exchange Commission said Friday that it had reached a $50,000 settlement with a small firm in Oshkosh, Wisconsin, Carl M. Hennig Inc., for violating Regulation Best Interest from June 2020 to the start of this year and for falling short in its procedures and policies concerning...
A visitor views a titanium hybrid 2020 Ford Escape FWD small SUV at the Canadian International Auto Show in Toronto, Ontario, in Canada, Feb. 18, 2020.Chris Helgren | ReutersCheck out the companies making headlines in midday trading.Ford — Shares popped about 3% in midday trading after a CNBC report...
