Results for "Jeff Benjamin"

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Ed Butowsky charges Schwab with political bias in $100 million lawsuit

April 20, 2018

Ed Butowsky, a Plano, Texas-based financial adviser who has been embroiled in a high-profile legal dispute related to the 2016 presidential election, has filed a $100 million lawsuit against Charles Schwab Corp. for kicking his advisory firm...

Brokers accept proposed SEC rule on who can call themselves an adviser

April 19, 2018

Even though the Securities and Exchange Commission's new proposed advice rules could require them to make changes in the way they do business, some brokers acknowledged that the regulations are needed to clear up investor confusion about the...

First quarter was a seller's market for RIAs

April 19, 2018

The pace of merger and acquisition activity in the wealth management space continues to chug along, driven by a combination of economic factors, according to the latest report from Echelon Partners. With 46 registered investment adviser deals...

Cadaret Grant acquired by private-equity-backed Atria

April 19, 2018

In a move the market has been anticipating for years, the owner of independent broker-dealer Cadaret Grant & Co. has agreed to a sale. Arthur Grant, president, chief executive and majority owner of the 33-year-old IBD with $23 billion under...

SEC advice rule: Industry groups brace for debate

April 18, 2018

Financial services industry groups scrambled on Wednesday afternoon to get out ahead of and then respond to the SEC's proposed advice rule, which is designed to lay the foundation for upgraded financial advice standards. As the Securities and...

9 podcasts that financial advisers love

April 17, 2018

Whether at the gym, at the office, or as part of the daily commute, financial advisers are discovering a wealth of useful information by listening to podcasts. Here are some of their favorites.

Commonwealth's Joseph Deitch debuts as self-help author

April 16, 2018

When Joseph Deitch is asked about his claims that it took him 20 years to write his first book, Elevate: An Essential Guide to Life (Greenleaf Book Group Press, 2018), the founder and chairman of Commonwealth Financial Network quips, "I'm a...

Adviser facing 20-year prison sentence settles with SEC

April 13, 2018

Former financial adviser Daniel Glick, who has already pled guilty to wire fraud in a parallel criminal case, has settled a civil suit brought by the Securities and Exchange Commission in which he agrees to help recover stolen assets now located...

SEC warns advisers to toe the line on fees

April 12, 2018

The Securities and Exchange Commission is putting the financial industry on notice that it is looking for advisers who are overcharging their clients. The risk alert, sent out Thursday morning by the SEC's Office of Compliance Inspections and...

Maryland attorney general bars unregistered adviser

April 11, 2018

An unregistered investment adviser has been barred by the Maryland attorney general's office for "dishonest and unethical trade practices" that included selling unregistered securities by fraudulent means. According to the Securities Commissioner...

Advisers uncover gold in 'non-monied' clients

April 10, 2018

For most financial advisers, the perplexing concept of "non-monied" might be something to instinctively avoid. But at Clarfeld Financial Advisors, a focus on non-monied spouses has developed into a thriving niche category for the $7.3 billion...

E*Trade puts its stamp on the RIA custodian space

April 9, 2018

E*Trade's $275 million acquisition of Trust Company of America, which was completed Monday, is expected to send the second-tier custodian into growth mode thanks to beefed-up resources, technology and marketing muscle. The first step in that...

Charitable giving through donor-advised funds on rise

April 6, 2018

The spirit of giving appears to have enjoyed a short-term boost thanks to a confluence of factors, including December's tax-reform package. Grants from donor-advised funds — which allow account holders to receive a tax deduction immediately,...

Advisers answer common investor concerns with these talking points

April 5, 2018

Now that stock market volatility has awakened from its more than year-long slumber, investors are getting understandably nervous, which is putting financial advisers on notice. With that in mind, we combed the financial planning universe for...

Advisers tell clients market volatility is the new normal

April 2, 2018

Financial advisers had their hands full on the first trading day of the second quarter as the S&P 500 index dropped 2.2% Monday. The message financial advisers presented to clients was that volatility is back, but that doesn't mean it's time...

Morgan Stanley fights to keep fired-broker lawsuit private

April 2, 2018

Morgan Stanley is pulling out all the stops to prevent a wrongful termination suit filed by a former broker who authored a tell-all memoir from going to a public hearing. Lawyers for the wirehouse filed a second motion Friday to move the lawsuit,...

Adviser's Consultant: Luring breakaway brokers to a hybrid RIA

March 30, 2018

Alex Goss understands the benefits of economies of scale in the financial planning business. By preaching that message to breakaway brokerage reps, he has grown his business to well beyond $3 billion in assets less than four years after his...

Barred financial planner, pastor busted for selling bogus bonds to elderly

March 30, 2018

A Shreveport, La., financial planner and a Houston pastor are facing both criminal and civil charges for allegedly running a scheme that bilked $3.4 million from at least 29 mostly elderly investors by selling them interests in "pre-Revolutionary...

Greg Fleming's latest venture bets on the Rockefeller brand

March 30, 2018

Greg Fleming's launch of Rockefeller Capital Management is fully stocked with brand recognition and the lofty goal of growing assets under management to $100 billion within five years. Now comes the hard part: Executing a growth strategy that...

Susan Axelrod, former Finra regulator, lands at Merrill Lynch

March 29, 2018

Susan Axelrod, who resigned in January after 28 years with Finra and its predecessor, NYSE Regulation, has landed at Merrill Lynch Wealth Management as the chief supervisory officer. Ms. Axelrod, 53, who was the executive vice president of regulatory...

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