Monthly Archive: June 2024

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12 Insights Into Boomers’ Retirement Realities

Start Slideshow At first glance, a majority of baby boomers appear content with their financial situation in retirement, according to a recent survey from IRALOGIX, a retirement industry fintech provider.  Probe a little deeper,...

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LPL Rep Suspended for Trading in Deceased Client’s Account

The Financial Industry Regulatory Authority has suspended a registered representative with LPL Financial and fined him $7,500 for unauthorized trading in the account of a deceased client. According to FINRA’s order, Ronald Gene Chronister’s...

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CSIO Announces Five New Vendor Members

Toronto, ON (June 25, 2024) – CSIO is pleased to welcome five new vendor members: ClicAssure Inc., Driver Verified Inc., HM Custom Solutions Inc., Norima Consulting and Quandri Technologies Inc. These new members will...

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Troublemakers, Be Warned: AI Is Watching

Artificial intelligence is helping to uncover rotten apples in financial services. That’s what Kim Crawford Goodman, CEO of Smarsh, a leader in communications compliance, argues in an interview with ThinkAdvisor. “We’re showing institutions the...