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Female trio managing $280 million at UBS moves to Alex. Brown
NEWS BROKER DEALERS JUL 24, 2020
Female trio managing $280 million at UBS moves to Alex. Brown

The veteran advisers, natives of Venezuela, are based in Miami

Hybrid managing $160 million switches to LPL from Advisor Group
NEWS BROKER DEALERS JUL 23, 2020
Hybrid managing $160 million switches to LPL from Advisor Group

Cornerstone Financial Planning in Florida is led by a brother-sister team

Koch Industries sued over 401(k) plan fees
RETIREMENT RETIREMENT PLANNING JUL 22, 2020
Koch Industries sued over 401(k) plan fees

The class action alleges the company didn’t prudently monitor record-keeper expenses

NASAA study on aging advisers suggests firms consider requiring succession plans
NEWS RIAS JUL 21, 2020
NASAA study on aging advisers suggests firms consider requiring succession plans

Regulators say older advisory workforce may have issues related to cognitive impairment

Former eMoney exec tapped to lead Kestra B-D unit
YOUR PRACTICE PRACTICE MANAGEMENT JUL 21, 2020
Former eMoney exec tapped to lead Kestra B-D unit

Stephen Langlois will serve as president while James Poer remains CEO of the parent company

Diversity Champions
YOUR PRACTICE PRACTICE MANAGEMENT JUL 20, 2020
Diversity Champions

This year’s Excellence in Diversity & Inclusion firm finalists are honored for their efforts to foster diversity and inclusion within their own firms or the financial advice profession

Outstanding Practices
YOUR PRACTICE PRACTICE MANAGEMENT JUL 20, 2020
Outstanding Practices

These Excellence in Diversity & Inclusion firm finalists are recognized for their initiatives developed to increase diversity and inclusion of their firms or clients

Meager savings led workers to tap retirement accounts, survey finds
RETIREMENT RETIREMENT PLANNING JUL 20, 2020
Meager savings led workers to tap retirement accounts, survey finds

COVID-19 could have long-term consequences for Americans' retirement security, says the Secure Retirement Institute

Accounting group offers free PPP loan forgiveness tool
YOUR PRACTICE FINTECH JUL 20, 2020
Accounting group offers free PPP loan forgiveness tool

Applicants who received funds can fill out forms on the AICPA site

Hybrid managing $150 million at First Allied moves to LPL
NEWS BROKER DEALERS JUL 20, 2020
Hybrid managing $150 million at First Allied moves to LPL

Staples Financial, based in Inver Heights, Minnesota, is led by the son of its founder