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April 24, 2019
Merrill Lynch and Wells Fargo Lose FAs to These Rivals
Stifel has nabbed reps from both firms while Dallas-based HilltopSecurities picks up a Merrill Lynch broker.
After Huge Data Breaches, Republicans Back Watchdog's Move to Limit Investor Personal Data Collection
Social Security numbers of retail investors likely won’t be stored in the Consolidated Audit Trail database.
Morgan Stanley Appoints Co-Head of Wealth Management Business to Run Banking
With Shelley O’Connor moving to her new post, Andy Saperstein remains the sole head of wealth management.
Fidelity Makes Strategic Additions to Advisor Offering
Tech vendors Addepar and Wealthbox have been added to Fidelity’s Wealthscape as providers industry-wide build their offerings.
VideoRIAs Hop, Skip, and Jump Across America with M&A
Ex-FA Admits: I Paid NCAA College Football Players
But Louis Martin Blazer said he never paid any college coaches.
Why a Wells Fargo FiNet Broker is Facing $2.3 Million Suit Alleging Life Insurance Mishandling
Robin Fratto also claims that Wells Fargo ignored Leonard Kinsman’s checkered history with Finra.
National Asset Management Ordered to Pay $815K Over Alleged Unsuitable Trading
But the Finra arbitration panel issuing the award said the claimants were also negligent.
Broker-Dealers Warned About Continuity and Disaster Recovery Plans
The industry’s self-regulator reminds designated firms that they must participate in testing of such plans and report the results.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|