Topic: The Practice
Technology
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July 19, 2018FAs Who Want to Survive Must Embrace the EmotionalAdvisors must learn to connect — emotionally — with the very rich.No Comments
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July 17, 2018LPL Loses $1.3 Billion RIA to TD AmeritradeBut a $170 million wealth management practice joins LPL in California.No Comments
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July 17, 2018Finra’s Cloud Tech Helps It Process 58 Billion Records DailyThe industry’s self-regulator processed a record number of electronic files in the first half of the year.No Comments
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July 16, 2018SEC Reveals Big Problems FAs Have With Best ExecutionWatchdog’s exam unit zeroes in on best execution disclosures and how they’re impacted by soft dollar arrangements.No Comments
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July 12, 2018House Democrats Push Relief for Small RIAsHouse panel also passes bill requiring the regulator to set up a senior investor task force.No Comments
Fees and compensation
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July 20, 2018Morgan Stanley and Finra Colluded to Harm My Arbitration Case, Says FAFA says she is fighting any effort by Morgan Stanley and Finra to harm her reputation and her pending case.No Comments
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July 20, 2018Ex-Morgan Stanley Advisor Barred by SECCornelius Peterson and another former Morgan Stanley broker allegedly stole $450,000 from one elderly client.Last Comment: July 20, 2018
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July 20, 2018New York State Adopts Best Interest Standard for InsuranceThe regulation will apply to annuities and life insurance and goes into effect in August.No Comments
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July 20, 2018SEC Charges New England AdvisorsOne advisor is accused of stealing over $3 million from her clients.No Comments
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July 19, 2018Woodbury Financial Completes Acquisition of $10 Billion Branch Brokerage BusinessCapital One Investing’s financial advisors will work within Woodbury’s open-architecture system.No Comments
Staffing and recruiting
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July 20, 2018Morgan Stanley and Finra Colluded to Harm My Arbitration Case, Says FAFA says she is fighting any effort by Morgan Stanley and Finra to harm her reputation and her pending case.No Comments
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July 20, 2018Morgan Stanley’s Gorman Says Broker Poaching Is OverThe firm’s broker ranks remain relatively flat following withdrawal from the Broker Protocol.No Comments
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July 20, 2018Ex-Morgan Stanley Advisor Barred by SECCornelius Peterson and another former Morgan Stanley broker allegedly stole $450,000 from one elderly client.Last Comment: July 20, 2018
1 Comment -
July 20, 2018SEC Charges New England AdvisorsOne advisor is accused of stealing over $3 million from her clients.No Comments
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July 19, 2018Woodbury Financial Completes Acquisition of $10 Billion Branch Brokerage BusinessCapital One Investing’s financial advisors will work within Woodbury’s open-architecture system.No Comments
Regulatory/legal issues
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July 20, 2018How FAs Could Help Protect Clients from Social Security ScamsSocial Security fraudsters inevitably ask for personal information legitimate calls normally would not request.No Comments
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July 20, 2018Morgan Stanley and Finra Colluded to Harm My Arbitration Case, Says FAFA says she is fighting any effort by Morgan Stanley and Finra to harm her reputation and her pending case.No Comments
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July 20, 2018Morgan Stanley’s Gorman Says Broker Poaching Is OverThe firm’s broker ranks remain relatively flat following withdrawal from the Broker Protocol.No Comments
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July 20, 2018Ex-Morgan Stanley Advisor Barred by SECCornelius Peterson and another former Morgan Stanley broker allegedly stole $450,000 from one elderly client.Last Comment: July 20, 2018
1 Comment -
July 20, 2018New York State Adopts Best Interest Standard for InsuranceThe regulation will apply to annuities and life insurance and goes into effect in August.No Comments
Succession planning
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July 19, 2018The Chase is On: Re-Winning Former Clients is Key for Breakaway FAsThe pressure is on for FAs to re-win their former clients after breaking from wirehouses.No Comments
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July 19, 2018Billion-Plus Breakaways Are Driving Independence, Says Schwab ExecIncreasingly large teams are leaving broker-dealers and wirehouses, inspiring smaller teams to do the same.No Comments
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July 17, 2018For Wirehouse Breakaways, the Journey to Independence May Start Years Before First StepsAdvisors going independent face challenges from the beginning of their journeys away from wirehouses to the end, starting with choosing to leave.No Comments
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July 17, 2018LPL Loses $1.3 Billion RIA to TD AmeritradeBut a $170 million wealth management practice joins LPL in California.No Comments
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July 17, 2018Multi-Billion RIA's Heir-Apparent Started Out as Firm's Executive AssistantAllison Felix is the successor to Cassaday & Company's founder Steve Cassaday.No Comments
Marketing
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July 20, 2018Morgan Stanley’s Gorman Says Broker Poaching Is OverThe firm’s broker ranks remain relatively flat following withdrawal from the Broker Protocol.No Comments
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July 17, 2018LPL Loses $1.3 Billion RIA to TD AmeritradeBut a $170 million wealth management practice joins LPL in California.No Comments
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July 13, 2018Merrill Lynch Has a Tool to Help FAs Meet Fiduciary DutyWirehouse wants to help advisors abide by best-interest standard despite death of the DOL’s fiduciary rule.No Comments
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July 13, 2018Another Wells Fargo Rep Jumps to Raymond JamesThe recent hire managed around $118 million.No Comments
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July 11, 2018BD Firms Reveal Their Big Social Media WorriesUnauthorized social media accounts and the potential for embarrassment top the list.No Comments
