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Her Success Matters: Amy Webber
NEWS BROKER DEALERS JUL 06, 2020
Her Success Matters: Amy Webber

The CEO of Cambridge Investment Research has carved a path built on intelligence, energy and teamwork

Franklin Advisers, Franklin Templeton agree to SEC penalties of $325,000
NEWS REGULATION AND LEGISLATION JUL 06, 2020
Franklin Advisers, Franklin Templeton agree to SEC penalties of $325,000

The firms exceeded the 10% cap on a fund manager investing in another investment company

FiNet team managing $225 million switches to LPL
NEWS RIAS JUL 06, 2020
FiNet team managing $225 million switches to LPL

Maryland-based CenterPoint Wealth Advisors will use the firm's B-D and RIA platforms

THE INVESTMENTNEWS PODCAST JUL 06, 2020
The new reality of Reg BI and why brokers and advisers will continue to butt heads. Plus, breakaway brokers, Fed commissions, and what’s up with PR embargoes?

Why we think the introduction of Regulation Best Interest is not the end of the debate over how brokers and advisers are regulated. Our hosts also look at new data from TD Ameritrade about what is driving brokers toward the independent channel, what you can find in a company’s focus report, the true cost of free trading, and the love-hate relationship with public relations practitioners.

Will ESG be allowed in 401(k) plans?
INVESTING ESG JUL 03, 2020
Will ESG be allowed in 401(k) plans?

Senior reporter Mark Schoeff Jr. joins senior columnists Jeff Benjamin and Bruce Kelly for the latest episode of the InvestmentNews Podcast.

Second Wealth/Stack conference postponed a year
NEWS RIAS JUL 02, 2020
Second Wealth/Stack conference postponed a year

An online version of the event will be held in December

Court orders RIA firm and founder to pay more than $2 million
NEWS RIAS JUL 01, 2020
Court orders RIA firm and founder to pay more than $2 million

SEC case charged that Connecticut-based Temenos Advisory put investor money at risk and concealed high commissions

Edward Jones files to create bank
NEWS REGULATION AND LEGISLATION JUL 01, 2020
Edward Jones files to create bank

The broker-dealer's Utah-chartered industrial bank could open in 2021

Vermont hybrid managing $210 million links to LPL
NEWS BROKER DEALERS JUL 01, 2020
Vermont hybrid managing $210 million links to LPL

Ridgeline Wealth Management had been affiliated with Wells Fargo's FiNet

Creative Planning acquires $530 million RIA
NEWS RIAS JUN 30, 2020
Creative Planning acquires $530 million RIA

Starfire Investment Advisers is based outside Detroit