The Practice: Regulatory/legal issues
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January 22, 2019Free Advice Offer to Thousands of Workers Affected by the ShutdownFurloughed federal employees can receive free financial advice virtually from XY Planning Network, regardless of where they are, the group says.No Comments
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January 22, 2019BlackRock Leak Exposes Private Data of 20,000 FAs, Including 12,000 at LPLBut BlackRock says no end-clients’ data has been leaked.No Comments
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January 18, 2019Morgan Stanley’s 2018 Results End on “Disappointing Note”The wirehouse’s CEO tells analysts the "great year" was capped by revenue and income declines in the fourth quarter.Last Comment: January 18, 2019
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January 18, 2019Finra Arbitration Panel Orders Royal Alliance, Ex-Broker to Pay $5.2MFormer advisor Gary Basralian admitted in August to stealing at least $2 million from his clients.No Comments
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January 18, 2019First Midwest Bancorp Acquires $800M Wealth Management PracticeThe bank now has $11 billion in assets under management.No Comments
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January 18, 2019Potential Tax Season Headache for FAs, Thanks to Government ShutdownThe Internal Revenue Service says it will process refunds but they may be late. Experts add customer service will be slow.No Comments
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January 18, 2019Wells Fargo, JPMorgan, Others Face Probe from Sen. Elizabeth WarrenThe Massachusetts Democratic senator wants to know what banks are doing to help federal workers cope with the government shutdown.No Comments
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January 18, 2019Raymond James CEO’s Total Pay Award Jumps 12% in Fiscal Year 2018But that was sharply lower than a previous 32% jump in compensation.No Comments
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January 18, 2019Wells Fargo Loses $800M FA Practice to TD AmeritradeChristopher Sargent, who broke away to form an RIA, had been with Wells Fargo and its predecessors for more than 50 years.Last Comment: January 18, 2019
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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
