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Finra penalizes Long Island B-D $1 million for churning
Excessive trading in clients' accounts at Joseph Stone Capital occurred from January 2015 to June 2020, according to Finra.
Smaller RIAs weathered the pandemic better than larger firms, DeVoe reports
The key to success is maintaining employee connections and getting people back to the office.
Putnam hires ESG leader from BofA
Jackie VanderBrug has been appointed Putnam’s head of sustainability strategy, reporting to CEO Robert Reynolds.
CFP Board revokes 7 designations in latest round of sanctions
The CFP Board announced public sanctions on 33 individuals Tuesday, including seven who have lost the right to use the CFP designation.
Ameriprise terminates adviser in Texas
Dusty Sternadel of Wichita Falls was fired for misappropriating funds, according to her BrokerCheck record.
Why doesn’t mentoring seem to work?
Employers reflexively promote mentoring to cultivate diverse talent, but metrics have been scarce — until now.
Eric Heaton joins Rockefeller to head strategy
The former Morgan Stanley executive will expand the firm's product offerings.
Accusations intensify in Wendy Williams’ fight with Wells Fargo
An attorney who formerly represented the TV talk show host claimed that Williams was 'left to die' by her adviser at Wells Fargo and her former business manager.
How to make the most out of video calls
If you’re one of the many advisers thinking about making this practice a regular occurrence, make sure the experience is both high quality and compliant.
Overconfident, underinformed Americans prefer amateur advice
'Moments of truth' can overcome the reluctance of many consumers to approach a financial adviser.
5 questions advisers should ask to make SEC audits as seamless as possible
By using a proactive approach, firms not only save time and minimize risk, but they also instill confidence into their team from the top down.
Schwab creates scholarship for underrepresented CFPs
Up to 16 awards, with up to $10,000 to be awarded per student, will be given each year, CFP Board says.
Finra names Nathaniel Stankard chief of staff for regulatory operations
The executive, who had been senior adviser to Finra CEO Robert Cook, will spearhead regulatory integration.
Goldman, Morgan Stanley move to return employees to office by easing Covid rules
The two investment banks both told staff that they will lift some of their remaining Covid-19 mitigation efforts after the Labor Day weekend.
Succession planning isn’t driving all M&A
The economics are attractive right now, and many advisers see a better future for virtually everyone involved if they join forces with a larger firm.
Kovack Advisors pays $900,000 to settle SEC charges over wrap program
The agency charged the firm with failing to monitor whether wrap-fee accounts were in the best interests of clients who did little trading.
Wealthspire funds four scholarships to encourage CFP diversity
The New York-based RIA will provide four awards per year of up to $5,000 per student for individuals pursuing their CFP certification.
Raymond James expands education program with new Tech Savvy track
Financial advisers will receive advanced training on integrated practice management platforms.
NAPFA teams with FP Transitions to offer succession planning help
The custom program will provide the group's fee-only planners with counseling and matching, including an annual valuation and an annual continuity plan.
Commonwealth taps ex-LPL attorney for cybersecurity oversight
In the newly created position, Michelle Kelley will lead the firm’s legal department and provide counsel on cybersecurity and privacy laws.
