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January 2, 2019
Advisor Who Pled Guilty to Wire Fraud Has Sentencing Postponed, But Could Face 20 Years
The advisor allegedly overcharged his high-profile athlete client.
JPMorgan Fined $135 Million Over Alleged ADR Mishandling
Settlement is SEC’s eighth action against a bank or broker resulting from its investigations into dubious ADR practices.
How Betterment Stayed on Top in 2018 (and How they Plan to Stay There in 2019)
Betterment's CEO explains how the robo advisor kept its spot on the FT300 list and what new services it introduced in the process.
Focus Financial Subsidiaries Acquire Firms
Gelfand, Rennert & Feldman and the Colony Group bring on family offices.
VideoWhat Advisors Can Do to Connect With Clients of Different Generations
Raymond James Nabs Yet Another Wells Fargo Rep
Hornung managed around $140 million at Wells Fargo Advisors.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|