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Retirement account balances bounce back in Q2
RETIREMENT RETIREMENT PLANNING AUG 11, 2020
Retirement account balances bounce back in Q2

The rise reflects the stock market's rebound and investors' continued contributions to their accounts, according to a Fidelity report

Maine legislators on brink of voting for state IRAs
RETIREMENT RETIREMENT PLANNING AUG 10, 2020
Maine legislators on brink of voting for state IRAs

A state Senate committee recommends passing the pending bill

Emigrant takes stake in California RIA
NEWS RIAS AUG 10, 2020
Emigrant takes stake in California RIA

Hollencrest Capital Management manages about $1.7 billion

Hybrid managing $150 million switches to LPL from Lincoln Financial
NEWS BROKER DEALERS AUG 10, 2020
Hybrid managing $150 million switches to LPL from Lincoln Financial

Minnesota-based Bialke Financial Partners will operate as an arm of American Bank of the North

Morgan Stanley team managing $280 million moves to Baird
NEWS BROKER DEALERS AUG 10, 2020
Morgan Stanley team managing $280 million moves to Baird

Four-person Fischetti Barry group is based in a suburb of Pittsburgh

Wendy Lanton, Jim Nagengast elected Finra governors
NEWS REGULATION AND LEGISLATION AUG 10, 2020
Wendy Lanton, Jim Nagengast elected Finra governors

Lanton represents small firms; Nagengast reelected to represent large firms

Face-to-face fades away
NEWS OPINION AUG 09, 2020
Face-to-face fades away

The shift to virtual may have been messy, but new ways of working and communicating have become the norm

SEC penalizes two RIAs $1 million over order flow payments
NEWS REGULATION AND LEGISLATION AUG 07, 2020
SEC penalizes two RIAs $1 million over order flow payments

New Jersey-based WBI Investments and Millington Securities allegedly made misleading statements

SEC charges RIA with insider trading
NEWS RIAS AUG 07, 2020
SEC charges RIA with insider trading

Former NFL player Jack Brewer allegedly used nonpublic information to sell shares in COPsync

Duo managing $200 million at Northwestern Mutual go indie with LPL
NEWS BROKER DEALERS AUG 06, 2020
Duo managing $200 million at Northwestern Mutual go indie with LPL

Scott Dudley and David McQuade form Stirling Financial Group in San Diego