The Practice: Marketing
-
April 12, 2019Morgan Stanley Boss Points to Wealth Management As ‘Stable Foundation’ in Congressional GrillingBut bank CEOs appeared unsure of how diverse their ranks will be in the future.No Comments
-
April 12, 2019Why You Could be the Next Target of an SEC Probe After SCOTUS RulingThe Supreme Court has emboldened the SEC to go after more people and accelerate enforcement, lawyers say.No Comments
-
April 12, 2019UBS Tries to Heed Advisors’ Call for More ConsistencyThe firm has unveiled management readjustments of its U.S. equity model portfolios.No Comments
-
April 12, 2019Betterment Lures Indie FAs with Commission-Free OfferThe robo-advice pioneer hopes to compete with the likes of Charles Schwab for independent advisors’ business.No Comments
-
April 11, 2019Brokers Gain Secret Weapon to Poach Clients from Old Firms — From Finra GuidanceB-D firms must be timely and upfront in communicating with clients about brokers who have been fired or left.No Comments
-
April 11, 2019SCOTUS Warns: You're on the Hook for False Info to Clients — Even if You Only Sent the EmailBroker-dealers must at least ensure materials they share are accurate and contain no material misrepresentations, a law firm says.No Comments
-
April 10, 2019Why Merrill Lynch is Placing 300 Merrill Edge Advisors in Wealth Management OfficesThe wirehouse hopes to capture and retain younger clients who don’t yet meet minimums for traditional financial advice.Last Comment: April 10, 2019
1 Comment -
April 10, 2019Cetera Could Add Close to 500 Advisors if Latest Deal Goes ThroughCetera is set to buy U.S. broker-dealer business of Foresters Financial.No Comments
-
April 10, 2019SEC Commish Calls for Unity on Regulation Best InterestMeanwhile, it’s unclear if the commission will wait for the confirmation of Allison Lee as the fifth commissioner to vote on the final rule.No Comments
-
April 10, 2019Wells Fargo Signs Agreement to Sell its Retirement Plan BusinessPrincipal Financial Group will pay $1.2 billion for the unit that had $827 billion in assets under administration as of the end of 2018.No Comments
