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Sometime broker charged in Vermont shootings
Eaton's on-and-off career most recently had him working at CUSO Financial Services.
RMD data, Schwab communications roil indie advisors post-TD
Advisors who custodied at TD Ameritrade are adjusting to life under Schwab.
Despite issues with Schwab, RIAs from TD stay put
Some advisors don’t like the number of master accounts at Schwab, the phone support or the technology. They’re exploring other custodians but don’t want to repaper.
Schwab cuts more than 2,000 jobs amid TD integration
The firm is trying to curb costs as it continues to integrate TD Ameritrade.
More tech coming for Schwab advisors
The process of moving TD RIAs onto Schwab's platform was 'imperfect,' says CEO Walt Bettinger.
Another new custodian enters the RIA market
Innovayte is targeting RIAs with $100 million to $800 million in assets and will be led by Catherine “Cat” Davies, a clearing and custody industry veteran.
Schwab net interest revenue drops 24% as clients move cash
The Fed's rate hikes have pressured Schwab's banking arm by encouraging some clients to shift money from the bank to other investment products.
Schwab says TD integration depressed client inflows
Firm's new money in August 'temporarily impacted by asset attrition from clients originating at Ameritrade,' CFO says in a statement.
Schwab execs declare RIA transition from TD a success
Despite some minor glitches and some email outreach confusion, most advisors are handling the change well.
Years of planning come to a head as Schwab’s TD migration approaches
InvestmentNews gains behind-the-scenes access to gauge the mood of execs and advisors as firm prepares to transition 7,000 RIAs and nearly 4 million client accounts.
Schwab, TD sued for failing to protect customer data from MOVEit hack
The class-action complaint alleges the hack exposed personal information of 61,000 TD customers.
Schwab says TD Ameritrade deal causing retail, advisory attrition
Finance chief Crawford says company has stepped back from some custodial relations Ameritrade offered institutional clients.
Schwab shuts down offices in five cities, merges more
Large firms like Schwab typically occupy huge offices in prime, and expensive, downtown locations in large cities across the country.
Schwab account migration reminds us why Twitter whining should be taken lightly
Both TD Ameritrade and Schwab have been busy addressing migration concerns, but a little perspective would be useful here.
Finra spanks Schwab with $350,000 fine over disclosures on ETNs
Schwab self-reported the issues with disclosures related to exchange-traded notes, which occurred from January 2016 to December 2020, to Finra.
Finra hits TD Ameritrade with $500,000 fine for disclosures on callable securities
TD Ameritrade self-reported the lack of disclosure, which occurred from January 2016 to June 2021, to Finra, according to the settlement.
Kate Healy to step down as head of Center for Financial Planning, start new firm
Healy, a long-time executive at TD Ameritrade, was appointed to head the center last summer to lead its efforts to elevate the financial planning profession with programs in diversity and inclusion.
LPL nabs $3.1 billion advisor network from Geneos
Michigan-based CG Advisor Network, which had custodied with TD Ameritrade, will now use LPL as its primary custodian and broker-dealer.
TD Ameritrade rushes to calm trading clients amid site outages
Charles Schwab executives had hinted at possible hiccups ahead of the massive account migration coming in September.
Altruist hopes its fintech muscle helps it compete against custodial giants
The three-year-old fintech platform brings its custody and clearing business in-house for what it promises will be a fully integrated digital experience for RIAs.
