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March 8, 2019
How a Broker's Sensitive Info Will Soon Hit BrokerCheck Faster
Investors and other users conduct more than 37 million searches on BrokerCheck every year.
UBS Promotes 60 Advisors in Big Move to Win More UHNW Clients
Sixty financial advisors and 36 support staff in the company’s Americas unit have been named managing directors.
Former FA Faces Additional Charges in Alleged $1 Million Fraud Scheme
The man could face decades in prison if convicted of running a Ponzi-like scheme targeting elderly investors.
Re-Examining Charitable Giving Strategies Could Reap Big Tax Rewards for Clients
Best tax practices for charitable clients have changed.
SEC Settles with Former Alexander Capital Broker for $300K Over Alleged Churning
The broker allegedly engaged in high-frequency trading, unauthorized trading and churning.
Why State Watchdogs Want SEC’s Regulation Best Interest to Succeed (Even as Some Create Their Own Fiduciary Rules)
NASAA's president says the group wants the SEC to clarify its guidance, and isn’t critical of the rule overall.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|