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Today's Headlines

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.
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.
Video
RIAs Hop, Skip, and Jump Across America with M&A
No presence, no problem: How RIAs are buying their way across America.  Video [ 3:57 ]   Transcript  
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.

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