Clients allege lack of suitability and due diligence by B-Ds.
Massachusetts alleges firm flagged problem with former broker but did nothing to stop him.
The CRM can predict which clients are most likely to add money — or leave the firm.
A broker for Morgan Keegan, which Raymond James acquired in 2012, bought shares of two penny stock firms for IRAs, which was against firm policy.
Some are signing off on premium increases in the 200%-300% range, one executive said.
Plan advisers and record keepers that don't adjust will be left behind.
House Financial Services Committee chairwoman is also preparing a hearing with executives from U.S. regional lenders.
Move puts firm a step ahead of top competitors on sidelines
Advisers have been slow to use the platforms, but that hasn't stopped vendors from offering them.
At meetings this year, LPL is talking up its ability to finance advisers' growth.
Medicare premium hikes could wipe out the cost of living adjustment for some retirees — again!
Inconsistent data can erode trust among clients, while high-quality data can help advisers maximize business opportunities.
Evidence suggests the death of the DOL rule is not empowering U.S. savers as suggested
Lawyer says the case gives SEC enforcement more ammunition on share-class crackdown.
As some wirehouses hire more salaried advisers, speculation mounts that the traditional way of compensating brokers is being threatened.
These assessments and guidance can smooth the way for its member firms to make better-informed decisions about technology.
235 individual advisers or teams with $61.5 billion in assets left a wirehouse in 2018 to work at another type of firm, InvestmentNews data show.
The number of billionaires continues to grow — there were an estimated 747 in North America in 2017, up from 490 in 2010.
Innovation in our industry goes well beyond technology.
By sharing their technology, they believe they can provide a better experience for advisers and their clients.
