The Practice: Fees and compensation
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December 12, 2018Ex-Broker Pleads Guilty to Running 18-Year Ponzi SchemeHa apparently caused more than $9 million in losses to elderly victims.No Comments
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December 12, 2018Former Wells Fargo FA Wins $750K in Compensation ClaimThe award is three times the compensatory damages originally sought.No Comments
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December 12, 2018Uniform Standard for RIAs and B-Ds Still Possible, SEC Chair AdmitsBut even RIAs can get around the fiduciary standard, Jay Clayton said in front of Congressional committee.No Comments
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December 11, 2018Blanket Ban on Brokers Using Advisor/Adviser Title Isn't Justified, Some RIAs SayWhat’s important is that brokers serve the best interest of their clients.No Comments
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December 11, 2018AARP Joins Chorus of SEC Regulation Best Interest Critics, Urges RevisionsThe consumer group says proposed Form CRS remains confusing to investors despite revisions.No Comments
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December 11, 2018UBS Loses $2.2 Billion Wealth Advisory Team to Fast-Growing High-End RivalThe two join Rockefeller’s newly opened office in Atlanta.No Comments
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December 11, 2018LPL Holds on to 51 FAs and $2 Billion in Assets from Departing FirmBut Independent Financial Partners expects to finish the year with 350-plus advisors.Last Comment: December 11, 2018
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December 11, 2018How Referrals Helped One FA Firm Grow to $21.3 Billion in 16 YearsThe multi-family office Silvercrest Asset Management Group has made only one acquisition every three years.No Comments
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December 11, 2018Three B-Ds Must Pay Over $6 Million Due to Bad Blue Sheet DataCitadel, Natixis and MUFG admitted the SEC’s findings that they submitted years-worth of deficient data.No Comments
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December 11, 2018UBS Promotes Insider to Head U.S. Wealth Management UnitJason Chandler will succeed Brian Hull Jan. 1.No Comments
