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SEC charges suspended broker with running a $5.2 million fraud
REGULATION, LEGAL & COMPLIANCE APR 17, 2020
SEC charges suspended broker with running a $5.2 million fraud

Phillip W. Conley of West Virginia is said to have lied to investors in a Ponzi-like scheme

3 Questions: Kashif Ahmed describes his coronavirus recovery
PRACTICE MANAGEMENT APR 17, 2020
3 Questions: Kashif Ahmed describes his coronavirus recovery

The president of American Private Wealth talks about what he told his clients while he was suffering from COVID-19

3 Questions: What stands out about Best Places winners?
PRACTICE MANAGEMENT APR 16, 2020
3 Questions: What stands out about Best Places winners?

InvestmentNews' Devin McGinley describes policies and perks that distinguish companies that earned spots on the Best Places to Work for Financial Advisers list

Schwab and Envestnet Yodlee strike deal on data sharing
RIA NEWS APR 16, 2020
Schwab and Envestnet Yodlee strike deal on data sharing

Clients will be able to connect with 1,200 providers on the data aggregator's platform

Princeton trustees, 403(b) plan participants agree to settle
RETIREMENT PLANNING APR 16, 2020
Princeton trustees, 403(b) plan participants agree to settle

Charges against the school's retirement plan related to fees echoed similar cases brought against other universities

Advised 401(k) investors tend to stay the course: Morningstar
RETIREMENT PLANNING APR 16, 2020
Advised 401(k) investors tend to stay the course: Morningstar

During the first quarter volatility, self-directed plan participants were more likely to trade

Cash is king as investors flee bond funds, active equities in March
EQUITIES APR 15, 2020
Cash is king as investors flee bond funds, active equities in March

Outflows from fixed-income funds hit a record $240 billion last month, says Morningstar

TD Ameritrade executive exits to join LPL
INDEPENDENT BROKER DEALERS APR 15, 2020
TD Ameritrade executive exits to join LPL

Judy Ricketts had worked for the family firm for 24 years

10 Best Places to Work among midsize advice firms
PRACTICE MANAGEMENT APR 15, 2020
10 Best Places to Work among midsize advice firms

See the firms with 30 to 49 employees that ranked highest on this year’s Best Places to Work for Financial Advisers list

By the Numbers: Mutual fund flows
MUTUAL FUNDS APR 15, 2020
By the Numbers: Mutual fund flows

InvestmentNews' Chief Content Officer George Moriarty looks at asset flows for equity and fixed-income funds during the first quarter