The Practice: Fees and compensation
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August 17, 2018Wells Fargo Loses More Reps to These Three RivalsThese firms seem to be a destination for former reps.No Comments
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August 17, 2018Galvin Gets His Way in Scottrade Fiduciary CaseA judge has agreed to grant the Massachusetts regulator’s request to remand the case to the state.No Comments
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August 16, 2018Broker and His Firm Charged on Improper UIT TradesStockCross Financial Services and Peter Cunningham allegedly earned $750,000 from short-term trading in the product.No Comments
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August 16, 2018Mercer Acquiring WM Business of Pavilion Financial CorporationThe consulting firm is also acquiring Pavilion’s investment consulting and alternatives consulting operations.No Comments
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August 16, 2018JPMorgan to Close Foreign Retail Clients’ Investment AccountsThe move does not affect clients in the company’s private bank.No Comments
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August 16, 2018UBS to Pilot Its Own ESG Funds on U.S. Wealth Management ClientsThe firm’s asset management unit has designed an equity ESG fund and a bond ESG fund.No Comments
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August 15, 2018IRS Likely to Favor Insurance Agents over Wealth Planners and Retirement AdvisorsA new draft proposal would exempt insurance agents from some deduction limits that advisors and wealth planners would face.No Comments
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August 15, 2018Ex-Morgan Stanley FA Scores $140K Win Against WirehouseA Finra arbitration panel has ordered the firm to pay the legal fees and costs of a broker it fired in 2013.No Comments
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August 14, 2018Why Many Women Don’t Know They Want to be Financial AdvisorsCommentators point to a reputation problem for the industry and gender biases in workplace practices.Last Comment: August 14, 2018
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August 14, 2018Raymond James' Big Secret to Luring FAs from RivalsFlexibility and less pressure to push products are key to attracting advisors from rivals, says one Raymond James executive.No Comments
