The Practice: Staffing and recruiting
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June 18, 2018Here’s How Finra Judges Your Suitability StandardFinra doesn’t have a prescriptive approach when it comes to determining investment strategy or product suitability.No Comments
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June 18, 2018Janney Lures $400M FA Team from StifelThe Gormley Furlong Wealth Advisory Group includes several industry veterans with more than 20 years of experience.No Comments
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June 18, 2018Trump’s Planned Consumer Protection Boss Signals Further DeregulationTo head the agency, White House plans to appoint a former Capitol Hill aide with no regulatory or financial services experience.No Comments
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June 15, 2018LPL Wins $330 Million Team from Lincoln FinancialLPL has recruited an advice firm serving $330 million in client assets from Lincoln Financial.No Comments
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June 15, 2018JPMorgan Plans to Bring on 1,000 Private BankersThe new hires would boost the company’s wealth manager force by close to 40%.No Comments
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June 15, 2018How BrokerCheck Source Overhaul Could Cut Your Compliance CostsLonger-term, Finra plans to revamp the process for completing required submissions.No Comments
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June 14, 2018Private Equity Drives Wealth Firm M&A Like Never BeforeFAs should heed what the ‘smart money’ says.No Comments
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June 14, 2018Investors Raise Advisor Fraud Concerns With the SECRetail investors ask watchdog about Madoff scandal, skills of financial professionals and suitability versus best interest standards.No Comments
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June 13, 2018JPMorgan Settles Retaliation Claims with Former Wealth ManagerBoth firm and advisor remain mum on details of settlement of a case alleging unlawful firing.Last Comment: June 13, 2018
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June 13, 2018New York Advisor Charged for Role in Alleged $5M Ponzi SchemeAdvisor allegedly also stole money from the estates of two deceased customers.No Comments
