The Practice: Fees and compensation
-
February 15, 2019LPL Lures Yet Another Bank-Based Advisor Practice ... Here's How They Did itCommunity First Investment Group joins from LaSalle Investment Management.No Comments
-
February 15, 2019Kestra Financial Agrees to $2 Million Payment Over Alleged Mutual Fund Sales ViolationsThe company allegedly failed to offer eligible clients lower-fee share classes for close to a decade.No Comments
-
February 15, 2019Maryland Fiduciary Bill Succeeds Where SEC Reg BI Fails, Says AdvocateSuccessful industry lobbying has lead to patchwork of state laws, she says.No Comments
-
February 15, 2019Hightower Adds $2.6 Billion RIAThe addition brings HighTower’s AUM to $68.6 billion.No Comments
-
February 15, 2019UBS Loses $730 Million Team to This RivalThe team join a new private client group office in Cincinnati.No Comments
-
February 14, 2019Wells Fargo Advisors Has Tough Time Signing New Clients, Exec ClaimsAnd that’s despite $10 billion in annual referrals from the bank.No Comments
-
February 14, 2019Ex-Morgan Stanley FA Fired and Barred Over Alleged Gift Disclosure FailureThe rep also allegedly failed to disclose a co-power-of-attorney appointment with the same client.No Comments
-
February 14, 2019These are the Critical Issues Keeping Top Broker-Dealers Up at NightChallenges include responses to fee pressures, attracting new clients and delivering investment returns.No Comments
-
February 14, 2019Almost Half of Federal Workers Fell Behind on Bills During ShutdownAnd even among the general population, 42% say they were more stressed during the 35-day government shutdown.No Comments
-
February 14, 2019LPL’s M&A War Chest Is Over $1 Billion, CFO SaysThe firm’s purchasing power has been augmented by a cash surplus, leverage flexibility and earnings from acquisitions.No Comments
