The Practice: Staffing and recruiting
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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
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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
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February 15, 2019Amid Falling Markets, B-Ds and Retail Brokerages Post Strong RevenueCharles Schwab, TD Ameritrade and E*Trade all benefited from higher trading activity, according to Moody's Investors Service.No Comments
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February 15, 2019Hightower Adds $2.6 Billion RIAThe addition brings HighTower’s AUM to $68.6 billion.No Comments
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February 15, 2019UBS Loses $730 Million Team to This RivalThe team join a new private client group office in Cincinnati.No Comments
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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
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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
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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
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February 14, 2019Ex-UBS Broker Gets 9 Years in Prison Over $4 Million FraudThe rep pleaded guilty to wire fraud.No Comments
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February 13, 2019Key Wells Fargo Lawyer Wants Some Complaints Excluded from BrokerCheck's Permanent RecordThe fear is that exploiters of senior investors could retaliate against good brokers by filing complaints that would stain records forever.Last Comment: February 13, 2019
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