Topic: The Practice
Technology
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December 12, 2018No Comments
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December 12, 2018Morgan Stanley Partnership Aims to Help FAs Connect With CustomersThe AI platform aims to deliver a better customer experience via integrating advisor interaction components.No Comments
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December 10, 2018Merrill Lynch’s Comp Plan Contains a Curious Digital IncentiveBofA wants clients logging on more. And they’re using Merrill advisors to increase digital engagement.Last Comment: December 10, 2018
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December 10, 2018Finra Reveals Broker-Dealer Suitability FailsRevelations may tip Finra's hand on how it will handle oversight of the SEC’s pending Regulation Best Interest.No Comments
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December 10, 2018Advisor Moves: Wells Fargo Loses $100M Team to Raymond JamesPlus: LPL and PNC moves.No Comments
Fees and compensation
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December 12, 2018Ex-Broker Pleads Guilty to Running 18-Year Ponzi SchemeHa apparently caused more than $9 million in losses to elderly victims.No Comments
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December 12, 2018Former Wells Fargo FA Wins $750K in Compensation ClaimThe award is three times the compensatory damages originally sought.No Comments
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December 12, 2018Uniform Standard for RIAs and B-Ds Still Possible, SEC Chair AdmitsBut even RIAs can get around the fiduciary standard, Jay Clayton said in front of Congressional committee.No Comments
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December 11, 2018Blanket Ban on Brokers Using Advisor/Adviser Title Isn't Justified, Some RIAs SayWhat’s important is that brokers serve the best interest of their clients.No Comments
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December 11, 2018AARP Joins Chorus of SEC Regulation Best Interest Critics, Urges RevisionsThe consumer group says proposed Form CRS remains confusing to investors despite revisions.No Comments
Staffing and recruiting
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December 12, 2018Morgan Stanley Legal Tussle With Ex-FAs Heats Up ... AgainThe firm initiated the lawsuit when six brokers left the wirehouse for Stifel.No Comments
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December 12, 2018Ex-Broker Pleads Guilty to Running 18-Year Ponzi SchemeHa apparently caused more than $9 million in losses to elderly victims.No Comments
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December 12, 2018Former Wells Fargo FA Wins $750K in Compensation ClaimThe award is three times the compensatory damages originally sought.No Comments
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December 11, 2018UBS Loses $2.2 Billion Wealth Advisory Team to Fast-Growing High-End RivalThe two join Rockefeller’s newly opened office in Atlanta.No Comments
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December 11, 2018LPL Holds on to 51 FAs and $2 Billion in Assets from Departing FirmBut Independent Financial Partners expects to finish the year with 350-plus advisors.Last Comment: December 11, 2018
1 Comment
Regulatory/legal issues
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December 12, 2018Morgan Stanley Legal Tussle With Ex-FAs Heats Up ... AgainThe firm initiated the lawsuit when six brokers left the wirehouse for Stifel.No Comments
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December 12, 2018Ex-Broker Pleads Guilty to Running 18-Year Ponzi SchemeHa apparently caused more than $9 million in losses to elderly victims.No Comments
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December 12, 2018Former Wells Fargo FA Wins $750K in Compensation ClaimThe award is three times the compensatory damages originally sought.No Comments
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December 12, 2018Uniform Standard for RIAs and B-Ds Still Possible, SEC Chair AdmitsBut even RIAs can get around the fiduciary standard, Jay Clayton said in front of Congressional committee.No Comments
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December 11, 2018Blanket Ban on Brokers Using Advisor/Adviser Title Isn't Justified, Some RIAs SayWhat’s important is that brokers serve the best interest of their clients.No Comments
Succession planning
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December 10, 2018Advisor Moves: Wells Fargo Loses $100M Team to Raymond JamesPlus: LPL and PNC moves.No Comments
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December 7, 2018UBS to Tackle Critical Sunset Packages Question in CourtBankrupt advisor's trustee raises key concern for many FAs.No Comments
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December 6, 2018UBS Reverses Course on Non-Solicit Clause and BonusesWirehouse says it won’t link non-solicit requirement to 2018 bonuses.Last Comment: December 6, 2018
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December 5, 2018Merrill Lynch WM and U.S. Trust Bosses Now Have a Bigger Role in Bank of AmericaThe two will join the company’s management team.No Comments
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December 7, 2018Women Advisors Discuss Succession Plans as They Take Charge of their Family FirmsFour financial advisors discuss the challenge and opportunities associated with taking over their family firms. This webcast is sponsored by LPL Financial.
Event Date: December 13, 2018
No Comments
Marketing
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December 12, 2018Morgan Stanley Partnership Aims to Help FAs Connect With CustomersThe AI platform aims to deliver a better customer experience via integrating advisor interaction components.No Comments
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December 12, 2018Uniform Standard for RIAs and B-Ds Still Possible, SEC Chair AdmitsBut even RIAs can get around the fiduciary standard, Jay Clayton said in front of Congressional committee.No Comments
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December 11, 2018Blanket Ban on Brokers Using Advisor/Adviser Title Isn't Justified, Some RIAs SayWhat’s important is that brokers serve the best interest of their clients.No Comments
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December 11, 2018AARP Joins Chorus of SEC Regulation Best Interest Critics, Urges RevisionsThe consumer group says proposed Form CRS remains confusing to investors despite revisions.No Comments
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December 10, 2018Merrill Lynch’s Comp Plan Contains a Curious Digital IncentiveBofA wants clients logging on more. And they’re using Merrill advisors to increase digital engagement.Last Comment: December 10, 2018
1 Comment
