Advisor News

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Tom James to step down as chairman of Raymond James early next year
INDEPENDENT BROKER DEALERS DEC 14, 2016
Tom James to step down as chairman of Raymond James early next year

Mr. James has long been involved in leadership roles at the broker-dealer his father founded in 1962.

By Bruce Kelly
Wells Fargo financial adviser with $350 million in assets skips to Raymond James
INDEPENDENT BROKER DEALERS DEC 14, 2016
Wells Fargo financial adviser with $350 million in assets skips to Raymond James

The Denver area practice will operate as First Avenue Wealth Partners.

By Bruce Kelly
Raymond James recruits three advisers managing $441 million in assets from Merrill Lynch
PRACTICE MANAGEMENT DEC 14, 2016
Raymond James recruits three advisers managing $441 million in assets from Merrill Lynch

The hires come as Raymond James gained the most assets under management through adviser recruitment of any financial firm in the third quarter.

By Mark Schoeff Jr.
FINTECH DEC 13, 2016
Apps to help make business travel easier for financial advisers

A little online research can make the difference between a good and bad experience.

By Sheryl Rowling
PRACTICE MANAGEMENT DEC 13, 2016
SEC to have skeleton crew in first half of 2017

By Mark Schoeff Jr.
RETIREMENT PLANNING DEC 13, 2016
Social Security Administration evaluates online claiming tools

Report explains why various calculators produce different results

By Mary Beth Franklin
REGULATION AND LEGISLATION DEC 13, 2016
Chamber of Commerce urges Donald Trump to take 'immediate action to undo' DOL fiduciary rule

Initial implementation of the rule is currently scheduled to begin in April.

By Mark Schoeff Jr.
Finra bars ex-Merrill employee who had 47 years with firm
REGULATION AND LEGISLATION DEC 13, 2016
Finra bars ex-Merrill employee who had 47 years with firm

Supervisor left firm amid an internal review of her performance and then declined to testify during a Finra investigation.

By Greg Iacurci
LPL sued by Galvin over top producer's alleged variable annuity abuses
PRACTICE MANAGEMENT DEC 13, 2016
LPL sued by Galvin over top producer's alleged variable annuity abuses

Massachusetts' William Galvin charged the nation's largest independent B-D with failing to supervise a top-producing broker who allegedly committed fraud in selling unsuitable VAs.

By Bruce Kelly
RIAs find it easy to justify spending more on technology in 2017
RIA NEWS DEC 12, 2016
RIAs find it easy to justify spending more on technology in 2017

Robo platforms are lifting client expectations.

By Jeff Benjamin
Wells Fargo's FiNet snags two Morgan Stanley advisers with $243 million in client assets
INDEPENDENT BROKER DEALERS DEC 12, 2016
Wells Fargo's FiNet snags two Morgan Stanley advisers with $243 million in client assets

By Bruce Kelly
FINTECH DEC 12, 2016
Envestnet Tamarac rolls out Yodlee app to show outside assets, liabilities

Clients can add values for mortgages, 401(k) accounts and even an art collection into their portal.

By Liz Skinner
Financial adviser pleads guilty to theft of more than $1.6 million
REGULATION AND LEGISLATION DEC 12, 2016
Financial adviser pleads guilty to theft of more than $1.6 million

Admits to stealing money from a family's trusts that he was managing and using it for personal expenses. <b><i>(Related read: <a href="//www.investmentnews.com/article/20160519/FREE/160519910/massachusetts-investment-adviser-gregg-caplitz-sentenced-to-prison&quot;" target="&quot;_blank&quot;" rel="noopener noreferrer">Massachusetts investment adviser Gregg Caplitz sentenced to prison for fraud, SEC says </a>)</b></i>

By Bruce Kelly
Galvin claims software developer defrauded investors in trading scheme
FINTECH DEC 12, 2016
Galvin claims software developer defrauded investors in trading scheme

Bruce S. Horowitz charged big upfront fees but never invested any of his clients' money, the Massachusetts regulator claims.

By Grete Suarez
REGULATION AND LEGISLATION DEC 09, 2016
Anthony Scaramucci headed to White House?

The hedgie, famous for comparing the DOL fiduciary rule to the Dred Scott decision, may be going to work for Donald Trump.

By Bloomberg
Finra bars former JP Morgan, RBC brokers
INDEPENDENT BROKER DEALERS DEC 09, 2016
Finra bars former JP Morgan, RBC brokers

Both former brokers settled and refused to testify.

By Jeff Benjamin
RETIREMENT PLANNING DEC 09, 2016
Your credit card choice could make-or-break the bank

The wrong pick can cost you money or a free trip.

By Bloomberg
RETIREMENT PLANNING DEC 09, 2016
Will your career really last into retirement?

Working into your 70s or 80s can be a great idea, but it's also completely unrealistic for many workers who want to stick to their chosen profession.

By Bloomberg
RETIREMENT PLANNING DEC 09, 2016
Clock is ticking on Social Security insolvency that could result in future benefit cuts

It's not the first time the country has faced a Social Security funding crisis.

By Mary Beth Franklin
RIA NEWS DEC 09, 2016
RIAs rank technology spending as top priority amid competition from robo-platforms: Scottrade survey

Technology spending has edged out spending on business growth as the top priority for registered investment advisers, according to a recent survey.

By Jeff Benjamin