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InvestmentNews
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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

Apex Clearing names Tricia Rothschild president
YOUR PRACTICE PRACTICE MANAGEMENT AUG 06, 2020
Apex Clearing names Tricia Rothschild president

Rothschild spent 26 years at Morningstar, where her final position was chief product officer

Mercer acquires $130 million RIA
NEWS RIAS AUG 05, 2020
Mercer acquires $130 million RIA

Summit Wealth Advisors is based in Frisco, Colorado

FiNet team managing $300 million moves to Raymond James
NEWS BROKER DEALERS AUG 04, 2020
FiNet team managing $300 million moves to Raymond James

The six-adviser Uinta Wealth Management team is based in Salt Lake City

Trio managing $1.05 billion joins UBS from Alex. Brown
NEWS BROKER DEALERS AUG 04, 2020
Trio managing $1.05 billion joins UBS from Alex. Brown

David Rosenthal, Stephen Collins and Daniel Rupp are based in Westport, Connecticut

Back to the office before year-end, say 83% of advisers
YOUR PRACTICE PRACTICE MANAGEMENT AUG 03, 2020
Back to the office before year-end, say 83% of advisers

But a survey finds that 51% don’t have a plan for returning

THE INVESTMENTNEWS PODCAST AUG 03, 2020
Will ESG be allowed in 401(k) plans? Special Guest Mark Schoeff weighs in

Co-hosts Jeff Benjamin and Bruce Kelly challenge InvestmentNews colleague Mark Schoeff on why ESG strategies often don’t find their way onto company sponsored retirement plan menus. This episode also looks at the sad regulatory record of Purshe Kaplan Sterling, why Vanguard shut down $1 billion mutual fund, what second-quarter earnings reports say about the future of wealth management, and how the lockdown is impacting industry gossip channels.

A champion for women on both sides of the desk
YOUR PRACTICE PRACTICE MANAGEMENT JUL 31, 2020
A champion for women on both sides of the desk

Margaret Starner, the 2020 Lifetime Achievement Winner for Excellence in Diversity & Inclusion, had made advocating for women a focal point of her career