Miriam Rozen is a Senior Editor at AdvisorHub. With a focus on finance, trading, and legal affairs, she covers a range of topics including cryptocurrency regulation, wealth management, and corporate finance. Miriam's work has been featured in the Financial Times, AdvisorHub, and Knowledia.
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Miriam Rozen's articles predominantly cover legal and regulatory aspects of the finance industry, with a focus on brokerage firms, financial regulations, compensation plans, and client complaints. Her coverage includes government announcements and press releases related to these themes.
Given her extensive coverage of legal policy regulation in the finance sector, she is likely to be interested in receiving pitches from legal experts specializing in financial regulations or compliance issues. Additionally, professionals with insights into business practices within the finance industry may also find success pitching stories relevant to broker recruitment deals and changes in compensation plans.
While Miriam does not have a specified geographic focus for her articles, it would be beneficial for sources reaching out to her to provide expertise or commentary that is globally applicable within the scope of financial regulations and industry practices.
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Brian Moynihan, chief executive officer of Bank of America Corp. Photographer: Jason Alden/Bloomberg
Mariner Wealth Advisors reported last week that hackers violated its systems and may have acquired the names and other personal information of around 8,995 people, according to a required filing with Maine regulators.
LPL Financial, the largest independent broker-dealer by its 32,000 advisors, is not looking to pursue another large acquisition anytime soon as it focuses on integrating Commonwealth Financial Network and retaining the assets that came with its largest-ever deal, Chief Executive Rich Steinmeier said on Wednesday.
By: Miriam Rozen
LPL Financial is facing a putative class action claim from an investor who claims the San Diego broker-dealer failed to warn customers about the deteriorating financial condition of an annuity issuer.
By: Miriam Rozen, Paul Yeung
Almost two and half years into his role as Chief Executive Officer at Morgan Stanley, Ted Pick is raising the bar for his company’s wealth unit and said the firm now expects that it can hit its $10 trillion asset target through that division alone.
LPL Financial CEO Rich Steinmeier said the firm is not planning any major mergers and acquisitions (M&A) in the near future, choosing instead to focus on integrating its largest-ever purchase, Commonwealth Financial Network. While stepping back from large-scale M&A, LPL is redirecting recruiting resources toward attracting new advisors and remains active in acquiring independent RIAs and financing advisor succession plans. Steinmeier described succession and liquidity solutions as the centerpiece of LPL's future M&A strategy. He also highlighted continued investment in direct-to-consumer marketing, including a new four-year partnership with the PGA of America beginning in 2027 that will give LPL a visible presence at major golf events and create opportunities for advisors and clients to attend.
The Financial Industry Regulatory Authority has proposed making permanent its pandemic-era remote inspections pilot before it is scheduled to expire in June 2027, according to the industry’s self regulator’s account of an early June meeting of its Board of Governors released Thursday.
More than 2,000 individuals commented on the Financial Regulatory Authority’s proposed reforms to its rules governing brokers’ outside business activities. Many of the letters’ authors sought changes to the Finra proposal.
The Financial Industry Regulatory Authority suspended for three months and fined $5,000 a Cambridge Investment Research broker for failing to properly disclose an outside business activity from which he received compensation, according to a letter of settlement on Friday.
The Financial Industry Regulatory Authority (FINRA) has proposed making its remote office inspection program permanent, replacing a pilot launched during the COVID-19 pandemic and currently set to expire in 2027. The regulator plans to seek approval from the U.S. Securities and Exchange Commission after data from nearly 1,000 participating firms showed remote inspections were as effective as onsite reviews at identifying compliance issues. FINRA is also proposing to extend more flexible oversight of advisors working from home by lengthening inspection cycles for certain non-branch locations and simplifying rules for residential offices.
