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Q4 2020 Top Equity ETFs
INVESTING MUTUAL FUNDS JAN 27, 2021
Q4 2020 Top Equity ETFs

Q4 2020 Fixed Income ETFs
INVESTING MUTUAL FUNDS JAN 27, 2021
Q4 2020 Fixed Income ETFs

UBS team managing $245 million goes indie with LPL
NEWS BROKER DEALERS JAN 26, 2021
UBS team managing $245 million goes indie with LPL

Brendan Biruk and Dan Rattigan form Washington Crossing Financial Group in Washington Crossing, Pennsylvania.

Finra bars former Merrill rep accused of churning
NEWS WIREHOUSES JAN 26, 2021
Finra bars former Merrill rep accused of churning

Charles Kenahan had already been barred by the state of New Hampshire in December.

Finra fines Goldman Sachs $1.25 million over fingerprinting
NEWS REGULATION AND LEGISLATION JAN 26, 2021
Finra fines Goldman Sachs $1.25 million over fingerprinting

The regulator says the firm didn't properly screen more than 1,000 nonregistered employees.

Duo managing $473 million at Morgan Stanley joins Janney
YOUR PRACTICE PRACTICE MANAGEMENT JAN 25, 2021
Duo managing $473 million at Morgan Stanley joins Janney

Scott Phelan, Kevin Myers and an assistant switch firms in Atlanta.

Sammons Financial acquires $3 billion Ohio RIA
NEWS INDUSTRY NEWS JAN 25, 2021
Sammons Financial acquires $3 billion Ohio RIA

Dayton-based Beacon Capital Management also runs a turnkey asset management program.

Mercer acquires $215 million Iowa RIA
NEWS INDUSTRY NEWS JAN 25, 2021
Mercer acquires $215 million Iowa RIA

Ten-year-old Marrs Wealth Management is based in Ames.

Regulators must address savers’ cognitive decline
NEWS OPINION JAN 25, 2021
Regulators must address savers’ cognitive decline

Today, unfortunately, cases of cognitive decline are prevalent, and the informal and below-the-radar approaches that addressed the issue in the past are inadequate to meet the current challenge.

THE INVESTMENTNEWS PODCAST JAN 22, 2021
A new day in Washington, but what does that mean for financial services?

D.C. correspondent Mark Schoeff joins Bruce and Jeff to look at the full impact of the new Biden/Harris administration on the advisory business. What will change quickly, what won't, and what happens to Reg BI?