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Today's Headlines

This Will Drive Broker-Dealers Out of New Jersey, Retirement Group Warns
But a consumer advocate group urges New Jersey not to be bullied or misled by threats from industry organizations.
Ex-Morgan Stanley FA Suspended Over Meal Expenses
The advisor allegedly mistakenly thought she was entitled to the money and falsely claimed that clients or prospects accompanied her to the meals.
ESG Debate Spirals Into Verbal Brawl Between Democrats and Republicans
The House subcommittee hearing was on ESG reporting by public companies.
Here's Raymond James' Approach to the Subscription Advice Model
RayJay's CEO doesn’t see any sudden movement to subscriptions.
Wells Fargo's Advisor Roster and Client Assets Shrink
And the interim CEO is apparently an unlikely candidate for the permanent post.
Raymond James Nabs Wells Fargo Brokers, Loses Reps to LPL
Austin Heberger and Gavin Lee have joined RJ but Patrick Foy and Chris Willis have gone to LPL.
Advisors Should Rethink Their Approach to Investing Amid Volatility
Aligning client investments with individual goals can help during times of volatility.
JPMorgan Loses Broker to Steward Partners, Nabs UBS Rep
Amy Sabin has joined Steward while Daniel Brauer has gone to JPMorgan.
Ritholtz Wealth Moves Robo Service to Betterment Platform
The wealth management practice had previously partnered with Upside Financial in 2014 for its robo.
CFP Board Sets New Conduct Rules Enforcement Date for 2020
Firms and trade groups had told the board they would need more time for the new rules, originally scheduled to go into effect this October.
Lightyear Reportedly Seeks Buyer for Wealth Enhancement Group
The private equity shop had acquired the RIA in 2015.
Video
What's the Role of the Advisor in Behavioral Finance?
beware the disconnect in implementation.  Video [ 3:31 ]   Transcript  

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