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2020 presidential election: Financial services will ‘be looking to play defense under Biden’
THE INVESTMENTNEWS PODCAST NOV 10, 2020
2020 presidential election: Financial services will ‘be looking to play defense under Biden’

Jeff and Bruce talk with IN's D.C. correspondent, Mark Schoeff, about what advisers can expect from the incoming administration in terms of department heads, regulations, ESG and of course, taxes.

SEC imposes $240,000 penalty on former Apollo senior partner
NEWS REGULATION AND LEGISLATION NOV 09, 2020
SEC imposes $240,000 penalty on former Apollo senior partner

Mohammed Ali Rashid was found to have falsely described personal expenses

Doubleheader: Nicole Casperson on free robo-platforms and Todd Rosenbluth on semitransparent ETFs
THE INVESTMENTNEWS PODCAST NOV 09, 2020
Doubleheader: Nicole Casperson on free robo-platforms and Todd Rosenbluth on semitransparent ETFs

Nicole talks on how digital advice is a means to cross sell, and Todd dives deep into all things semitransparent ETF

DOL’s ESG rule an instance of America’s divide
NEWS OPINION NOV 09, 2020
DOL’s ESG rule an instance of America’s divide

It appears unlikely a Biden administration would be able to overturn the rule

Her Success Matters: Pam Stross, CEO, TruClarity
NEWS INDUSTRY NEWS NOV 08, 2020
Her Success Matters: Pam Stross, CEO, TruClarity

Pam Stross, CEO of TruClarity Management Solutions, talks about how female leaders can build pathways for the next generation of female advisers who aspire to C-suite roles.

Working at home may affect state taxes, says AIPCA
RETIREMENT TAX NOV 06, 2020
Working at home may affect state taxes, says AIPCA

Survey finds that 55% of those who have worked remotely are unaware of the possible tax effects

Focus Financial reports higher net third-quarter income
NEWS RIAS NOV 05, 2020
Focus Financial reports higher net third-quarter income

The advisory firm partnership also reported a 4.7% revenue gain

Wells Fargo to freeze raises for high earners
YOUR PRACTICE PRACTICE MANAGEMENT NOV 05, 2020
Wells Fargo to freeze raises for high earners

The bank plans to halt increases in base pay in the coming year for employees earning more than $150,000

SEC charges phony New Jersey adviser with $5 million fraud
NEWS REGULATION AND LEGISLATION NOV 04, 2020
SEC charges phony New Jersey adviser with $5 million fraud

Terrence Chalk allegedly ran a Ponzi-like scheme that promised 12% annual returns

Super OSJ overseeing $975 million shifts to Royal Alliance from Penn Mutual
YOUR PRACTICE PRACTICE MANAGEMENT NOV 03, 2020
Super OSJ overseeing $975 million shifts to Royal Alliance from Penn Mutual

Pacific Capital Resource Group, based in Bellevue, Washington, supervises 40 reps