Topic: The Practice
Technology
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January 17, 2019SEC Charges Nine Over Edgar Data HackA Ukrainian hacker and traders from California, Ukraine and Russia are among the defendants.No Comments
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January 14, 2019FAs Need Not Fear Technology Replacing Them — But They’ll Have to Use It to Serve Clients BetterA recent report from the CFP Board suggests clients fully expect technology to be a part of the relationship they have with human advisors.No Comments
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January 11, 2019How to Harness Big Data to Grow your BusinessHaving the right technology and data experts are key for advisors using big data.No Comments
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January 10, 2019To Stay on SEC’s Good Side, FA Practices Need to Monitor Online CommunicationsA recent risk alert from the regulator says companies must monitor social media and ensure compliance in the use of personal electronics.No Comments
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January 9, 2019Merrill Lynch Expands Services for Self-Directed InvestorsThe wirehouse is offering DIY investors the same research capabilities already available to its own financial advisors.No Comments
Fees and compensation
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January 17, 2019SEC Charges Nine Over Edgar Data HackA Ukrainian hacker and traders from California, Ukraine and Russia are among the defendants.No Comments
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January 17, 2019Prime Capital Investment Advisors Acquires RIALonger Investments manages $151 million for 108 accounts.No Comments
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January 17, 2019Morgan Stanley Promotes 14 Wealth Managers to Managing DirectorFive women are among those promoted to the firm's highest rank.No Comments
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January 17, 2019Two Morgan Stanley Managers Leave Private Wealth UnitCharles "Chuck" Rice oversaw advisors in Chicago and Jose Salazar managed advisors in Miami.No Comments
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January 17, 2019Why Merrill Lynch Has Never Seen Such GrowthYet the wirehouse's advisor ranks have barely increased.Last Comment: January 17, 2019
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Staffing and recruiting
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January 17, 2019Prime Capital Investment Advisors Acquires RIALonger Investments manages $151 million for 108 accounts.No Comments
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January 17, 2019Morgan Stanley Promotes 14 Wealth Managers to Managing DirectorFive women are among those promoted to the firm's highest rank.No Comments
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January 17, 2019Two Morgan Stanley Managers Leave Private Wealth UnitCharles "Chuck" Rice oversaw advisors in Chicago and Jose Salazar managed advisors in Miami.No Comments
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January 17, 2019Why Merrill Lynch Has Never Seen Such GrowthYet the wirehouse's advisor ranks have barely increased.Last Comment: January 17, 2019
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January 17, 2019Genstar Reportedly Weighs Buying Advisor Group StakeBut Advisor Group's CEO tells employees that no discussions are underway.No Comments
Regulatory/legal issues
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January 17, 2019SEC Charges Nine Over Edgar Data HackA Ukrainian hacker and traders from California, Ukraine and Russia are among the defendants.No Comments
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January 17, 2019Genstar Reportedly Weighs Buying Advisor Group StakeBut Advisor Group's CEO tells employees that no discussions are underway.No Comments
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January 16, 2019Wells Fargo Reveals Why it Sees Upside in a Shrinking Advisor RosterAdvisor attrition has slowed from its peak in August.No Comments
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January 16, 2019Edward Jones Ordered to Pay $2 Million Discrimination ClaimA Finra arbitration panel has ruled the firm owes back pay and damages to one of its former brokers.No Comments
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January 16, 2019Prosecutors Call for 78-Month Prison Sentence for Ex-Merrill Lynch FAThomas Buck had pleaded guilty to securities fraud and agreed to a $5 million penalty.No Comments
Succession planning
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January 17, 2019Prime Capital Investment Advisors Acquires RIALonger Investments manages $151 million for 108 accounts.No Comments
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January 15, 2019RIA M&A Sets Sixth Consecutive Record in 2018The average size of the deals was also around 30% higher than the previous year.No Comments
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January 10, 2019Focus Financial Adds $658 Million RIAFocus partner has also added a multifamily office in Los Angeles.No Comments
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January 9, 2019Proven Strategies for Winning Over Your Clients' Kids (And Some Things You Really Shouldn't Do)Top UHNW advisors reveal their winning game plans.No Comments
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January 8, 2019HighTower’s Weissbluth Replaced by Fidelity and Charles Schwab VeteranThe firm has replaced the CEO with Bob Oros, according to HighTower.No Comments
Marketing
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January 14, 2019Wells Fargo Lawsuit Defendants Counter Septuagenarian's Elder Abuse ClaimsThe move also illustrates the trend of big firms trying to keep litigation out of public arenas and in control of industry forums.No Comments
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January 14, 2019Carson Group Sets Stage for 2019 Talent Push with First AdditionThe firm plans to onboard new business consulting, risk management, operations, and investment management executives this year.No Comments
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January 10, 2019To Stay on SEC’s Good Side, FA Practices Need to Monitor Online CommunicationsA recent risk alert from the regulator says companies must monitor social media and ensure compliance in the use of personal electronics.No Comments
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January 9, 2019Proven Strategies for Winning Over Your Clients' Kids (And Some Things You Really Shouldn't Do)Top UHNW advisors reveal their winning game plans.No Comments
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January 8, 2019Morgan Stanley, Merrill Lynch and UBS Enforcement Action Revelations Slip Out Between Christmas Ham and New Year's BubblyNews of enforcement actions at the wirehouses came at a time when few people are keeping up with industry affairs.Last Comment: January 8, 2019
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