The Practice: Staffing and recruiting
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July 15, 2019Chilton Trust Names Former JPMorgan Exec Its New CEOMeantime, LPL lures $110 Million credit union-based wealth management practice from CUNA.No Comments
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July 15, 2019Raymond James Adds $600 Million FA in HoustonThe advisor was previously affiliated with TIAA-CREF.No Comments
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July 15, 2019Genstar Reportedly Selling Mercer AdvisorsGenstar, which has a 75% or bigger stake in the RIA, has brought on Goldman Sachs as advisor on the sale.No Comments
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July 15, 2019Insurance Brokerage Hub Eyeing $40 Billion LPL BranchGlobal Retirement Partners has $38.5 billion in retirement plan assets.No Comments
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July 15, 2019Fired Morgan Stanley Rep Barred Over Alleged Undisclosed AccountsThe rep initially denied the existence of such accounts, claims Morgan Stanley.Last Comment: July 15, 2019
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July 12, 2019How Firms Under Investigation Can Sometimes Avoid Harsher SanctionsLetters of acceptance, waivers and consent will include a section called Credit for Extraordinary Cooperation.No Comments
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July 12, 2019Kestra Adds $206 Million PracticeMerkel Financial offers wealth management and estate planning services with a focus on women.No Comments
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July 12, 2019Judge Grants Morgan Stanley’s TRO Request for Ex-Broker Who Went to UBSThe advisor is being pursued in connection with an agreement over a retired advisor's business.No Comments
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July 11, 2019Ex-Cadaret Broker Ordered to Pay $1.46 Million to InvestorThe investor awarded the money had originally included Cadaret, Grant in her claim but dropped the firm earlier this year.Last Comment: July 11, 2019
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July 11, 2019FPA Wants CFP Board to Delay Fiduciary Rule Enforcement Until Summer 2020The board’s new Code of Ethics and Standards of Conduct goes into effect in October.No Comments
