The Practice: Marketing
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March 29, 2019LPL Breakaway Says its Equity Offering is Attracting Advisors to the FirmCEO says there’s more demand for IFP stock than transition cash.No Comments
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March 29, 2019E*Trade Slaps Morgan Stanley Breakaways with InjunctionsThree employees have been accused of illegally taking client information or trade secrets.Last Comment: March 29, 2019
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March 29, 2019SigFig Rolls Out Digital Advice Platform for Retail BanksSigFig Atlas will offer robo-advice as well as recommend banking products.No Comments
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March 29, 2019Cuso Financial Hit with $500K SuitThe claim is tied to a former Cuso financial advisor accused of selling away.No Comments
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March 28, 2019Former UBS Broker Gets a Year in Prison over Puerto Rico Bond SalesJose Ramirez will be the first among UBS Puerto Rico staff to serve jail time in the scheme.Last Comment: March 28, 2019
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March 28, 2019Kestra Teams up with Goldman Sachs for LendingThe partnership will allow Kestra’s indie advisors to offer their clients securities-backed lines of credit.No Comments
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March 28, 2019Bill Threatens Timing of SEC Reg BI FinalizationThe law would require the SEC to conduct investor testing for all relevant SEC rules.No Comments
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March 27, 2019Lobbyists Ask SEC to Let B-Ds Charge Clients Separately for ResearchSifma says the change is necessary following the implementation of Mifid II in the European Union.No Comments
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March 27, 2019RIA Charged Over $11 Million in Overcharges in Private FundsThe firm allegedly inflated its returns and overcharged management and performance fees.No Comments
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March 27, 2019Merrill Lynch Expands Fiduciary Services to 401(k) ClientsThe wirehouse will manage the plans’ investment options as a fiduciary.No Comments
