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Two Wells Fargo FiNet reps managing $315 million move to LPL
NEWS BROKER DEALERS MAY 12, 2020
Two Wells Fargo FiNet reps managing $315 million move to LPL

Brian Wall and Joe Nastasi will merge their practices in the Kansas City, Mo., area

Last chance to participate in InvestmentNews' 2020 Adviser Benchmarking Survey
YOUR PRACTICE PRACTICE MANAGEMENT MAY 11, 2020
Last chance to participate in InvestmentNews' 2020 Adviser Benchmarking Survey

Those who take the survey will get free copies of two studies, as well as other perks

Pandemic means changes for advisers' firms and their clients
NEWS OPINION MAY 10, 2020
Pandemic means changes for advisers' firms and their clients

Advisers are likely to face many discomforting discussions as the new economic and market reality unfolds

Finra fines former LPL rep for falsifying client net worth
NEWS BROKER DEALERS MAY 08, 2020
Finra fines former LPL rep for falsifying client net worth

Donald Woods inflated retirees’ wealth figures so that he could sell them REITs

ESG funds saw inflows in first quarter
INVESTING ESG MAY 08, 2020
ESG funds saw inflows in first quarter

That compares with the outflows registered by mutual funds overall, according to Morningstar

10 IBDs with the most female reps
NEWS BROKER DEALERS MAY 07, 2020
10 IBDs with the most female reps

These independent broker-dealers have the highest percentages of female producing reps

By the Numbers: Annuity sales
RETIREMENT LIFE INSURANCE AND ANNUITIES MAY 06, 2020
By the Numbers: Annuity sales

InvestmentNews Chief Content Officer George Moriarty talks about how annuity sales fared during the first quarter

3 Questions: Captrust supporting vulnerable communities
NEWS INDUSTRY NEWS MAY 06, 2020
3 Questions: Captrust supporting vulnerable communities

Tiffany Larew describes how the firm's employees raised $145,000 to aid U.S. nonprofits helping those most hurt by pandemic's fallout

Rep fined $5,000 for cheating on Series 24 exam
NEWS REGULATION AND LEGISLATION MAY 06, 2020
Rep fined $5,000 for cheating on Series 24 exam

Spencer Sullivant, a former Waddell & Reed rep, was also suspended for 18 months

LPL snags another Securities America team
NEWS BROKER DEALERS MAY 06, 2020
LPL snags another Securities America team

The move by Winston Wealth, a hybrid managing $300 million, follows a similar shift last week by JFC Financial