TIAA Broker-Dealer Settles SEC Allegations for $96 Million

By Wagner Law Group Thu, Jul 22, 2021

TIAA-CREF Individual and Institutional Services, LLC, a subsidiary of Teachers Insurance and Annuity Association of America is alleged to have failed to adequately disclose conflicts of interest and to...

Published July 22, 2021

As B/Ds merge, technology and culture are keys to success

By Editorial Staff Thu, Feb 4, 2021

In a recent survey by Cerulli Associates, technology was tied for the top spot among the factors most frequently cited by advisors as influencing their decision to join a...

Published February 4, 2021