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SEC fines five firms $3 million over unsuitable exchange-traded volatility products
INVESTING ETFS NOV 13, 2020
SEC fines five firms $3 million over unsuitable exchange-traded volatility products

American Portfolios, Benjamin Edwards, Royal Alliance, Securities America, Summit Financial to pay

FPA launches a certificate program in cybersecurity
YOUR PRACTICE FINTECH NOV 12, 2020
FPA launches a certificate program in cybersecurity

Aim is to help planners create a cybersecurity program and aid in compliance

Team managing $1.8 billion at UBS goes to Venture Visionary Partners
NEWS RIAS NOV 12, 2020
Team managing $1.8 billion at UBS goes to Venture Visionary Partners

The addition of 12 professionals and AUM almost doubles the size of the Toledo, Ohio, RIA

Contributions to retirement accounts steady, but withdrawals up: Fidelity
RETIREMENT RETIREMENT PLANNING NOV 12, 2020
Contributions to retirement accounts steady, but withdrawals up: Fidelity

CARES Act distributions averaging $9,000 were taken by 1.2 million account holders

New York duo managing $350 million at HSBC go indie with LPL
NEWS BROKER DEALERS NOV 12, 2020
New York duo managing $350 million at HSBC go indie with LPL

Jerry Giordano and Joseph Praino will work with existing LPL indie firm, KM Capital Group

Robert Coppola joins Envestnet as chief technology officer
YOUR PRACTICE FINTECH NOV 12, 2020
Robert Coppola joins Envestnet as chief technology officer

The former Cision CIO wil succeeds company veteran Scott Grinis, who will retire in 2021

Holding nontraditional jobs after age 62 can build retirement security, study finds
RETIREMENT RETIREMENT PLANNING NOV 11, 2020
Holding nontraditional jobs after age 62 can build retirement security, study finds

The Center for Retirement Research finds value in such jobs even if workers receive no benefits

Texas teams managing $151 million link with Advisory Services Network
NEWS BROKER DEALERS NOV 11, 2020
Texas teams managing $151 million link with Advisory Services Network

Springer Financial Services, a hybrid, and RB Welborn work in tandem

InvestmentNews Podcast: Bob Doll’s 2021 Prediction Special
NEWS INDUSTRY NEWS NOV 11, 2020
InvestmentNews Podcast: Bob Doll’s 2021 Prediction Special

Bob Doll breaks down his 2021 predictions and discusses his Nostradamus batting average.

Mass Mutual team managing $250 million affiliates with LPL
NEWS BROKER DEALERS NOV 10, 2020
Mass Mutual team managing $250 million affiliates with LPL

Trivium Point Advisory in Tarrytown, New York, also does tax prep