The Practice: Regulatory/legal issues
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July 31, 2018How to Win Better Terms When Joining Broker-DealersFinancial advisors can often negotiate on a number of fees and charges.No Comments
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July 31, 2018Splitting Wells Fargo Reps Increasingly Call This Rival HomeStifel’s new Modesto, Calif., office is staffed entirely with former Wells Fargo Advisors reps.Last Comment: July 31, 2018
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July 30, 2018Finra Consolidates Enforcement DivisionThe industry’s self-regulator is centralizing its investigators and bringing on an SEC veteran to oversee them.No Comments
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July 30, 2018LPL Brings on SS&C Technologies’ Wealth Management SuiteAdvisors will be able to get consolidated reporting and portfolio management through the platform.No Comments
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July 30, 2018Wells Fargo’s FAs Pushed Clients Into Higher-Fee Products, Claim WhistleblowersAdvisors in the company’s wealth management unit often targeted wealthier clients for more expensive products, several whistleblowers tell the Wall Street Journal.No Comments
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July 27, 2018Feds in NY Arrest Ex-FA -- Again -- Over Ponzi SchemeAlready facing similar charges, the defendant allegedly targeted mostly elderly women in an 18-year-long scheme.No Comments
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July 27, 2018Focus Financial Partners IPO Soars After Price WobbleThough priced below its consensus range, wealth firm buyer’s story won out.No Comments
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July 27, 2018Raymond James Advisor Count Jumps After Boosting BonusesThe firm had a 45% increase in business development expenses year-over-year.No Comments
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July 27, 2018SEC Rejects First-Ever Cryptocurrency ETFRegulator says Winklevoss twins’ ETF doesn’t meet requirements preventing fraud and manipulation, but doesn’t rule out bitcoin or blockchain as investments.No Comments
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July 26, 2018RIA’s Big Recruiting Move Could Become Client Acquisition HeadacheSnatching a private-client book from Fidelity isn’t easy, not even for major players.No Comments
