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Morningstar Office users now can manage held-away accounts
YOUR PRACTICE FINTECH APR 19, 2022
Morningstar Office users now can manage held-away accounts

The deal with fintech Pontera provides ability to do more complete household reporting.

SEC freezes assets of alleged $449 million Ponzi schemers
NEWS REGULATION AND LEGISLATION APR 18, 2022
SEC freezes assets of alleged $449 million Ponzi schemers

Three in Las Vegas charged in scheme involving purported personal injury settlements.

Former UBS adviser pleads guilty to $5.8 million fraud
NEWS REGULATION AND LEGISLATION APR 18, 2022
Former UBS adviser pleads guilty to $5.8 million fraud

South Florida resident German Nino, who faces up to 60 years in jail, is scheduled for sentencing in June.

Knut Rostad clarifies the SEC’s revisions to Form CRS
THE INVESTMENTNEWS PODCAST APR 18, 2022
Knut Rostad clarifies the SEC’s revisions to Form CRS

Jeff and Bruce talk to Knut Rostad, president of the Institute for the Fiduciary Standard, about the SEC's revisions to Form CRS and the complications that it's added to defining the term 'fiduciary.'

The persistence of remote work
YOUR PRACTICE PRACTICE MANAGEMENT APR 18, 2022
The persistence of remote work

In the short space of four months, remote work seems to have become an even more permanent part of our everyday lives.

See It Be It Role Model: Carlos Muñoz 
YOUR PRACTICE PRACTICE MANAGEMENT APR 15, 2022
See It Be It Role Model: Carlos Muñoz 

Carlos Muñoz, who leads the Morgan Stanley team that manages relationships with asset management firms, also heads the Equity Collective, an initiative at the firm that aims to develop the next generation of diverse leaders.

Miami duo managing $400 million moves to Sanctuary from Insigneo
NEWS ADVISOR MOVES APR 15, 2022
Miami duo managing $400 million moves to Sanctuary from Insigneo

Walter Alves and Bruno Gorgatti specialize in serving Brazilian investors.

Mother-son duo managing $175 million affiliates with LPL
NEWS BROKER DEALERS APR 14, 2022
Mother-son duo managing $175 million affiliates with LPL

Theresa and Kevin Hannon, who operate as Hannon Financial Group in Oak Brook, Illinois, are switching from American Portfolios.

Edward Jones rep managing $230 million goes indie with Raymond James
NEWS BROKER DEALERS APR 14, 2022
Edward Jones rep managing $230 million goes indie with Raymond James

Logan Skinner and his team are setting up Axis Private Wealth in Longview, Texas.

Advisor360 upgrades new-account processing
YOUR PRACTICE FINTECH APR 13, 2022
Advisor360 upgrades new-account processing

Automated Document Bundling detects, enriches and batches new-account documents.