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Tech spending on digital marketing is just the first step
YOUR PRACTICE FINTECH MAY 23, 2020
Tech spending on digital marketing is just the first step

Firms that find the most success are those that have engaged and nurtured a community for years

SEC shuts Riverside, Calif., RIA running a Ponzi scheme
NEWS RIAS MAY 22, 2020
SEC shuts Riverside, Calif., RIA running a Ponzi scheme

eGate and its owner, Paul Horton Smith, charged with fraud that targeted senior citizens

Finra bars no-show former Wells FiNet broker
NEWS WIREHOUSES MAY 21, 2020
Finra bars no-show former Wells FiNet broker

Wells Fargo fired Leonard Kinsman of Staten Island, N.Y., for “unprofessional conduct”

Smarsh acquires maker of cybersecurity tools
YOUR PRACTICE FINTECH MAY 21, 2020
Smarsh acquires maker of cybersecurity tools

The acquisition of Entreda will round out the firm’s compliance offering

$400 million bank program shifts to LPL
NEWS BROKER DEALERS MAY 20, 2020
$400 million bank program shifts to LPL

Landmark Bank had used the Raymond James platform before being acquired by Simmons Bank

$650 million team exits Morgan Stanley for RBC
YOUR PRACTICE PRACTICE MANAGEMENT MAY 19, 2020
$650 million team exits Morgan Stanley for RBC

The six-member group, based in New York City group, includes four advisers

Team managing $305 million exits Wells Fargo for LPL
NEWS BROKER DEALERS MAY 18, 2020
Team managing $305 million exits Wells Fargo for LPL

The three-adviser group in Marlton, N.J., is setting up shop using LPL's new program for breakaways

Finding your higher calling in a crisis
NEWS OPINION MAY 17, 2020
Finding your higher calling in a crisis

It’s time for advisers to lend a hand to those who are faring less well

3 Questions: Investing in firms that help those most hurt by pandemic
NEWS INDUSTRY NEWS MAY 15, 2020
3 Questions: Investing in firms that help those most hurt by pandemic

Impact Assets' Margret Trilli describes new fund that's sending capital to frontline heroes and others supporting those impacted by COVID-19 fallout

3 Questions: Riskalyze engineer helping with his 3D printer
NEWS INDUSTRY NEWS MAY 15, 2020
3 Questions: Riskalyze engineer helping with his 3D printer

Riskalyze CEO talks about how the fintech firm is making masks more comfortable