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Team managing $360 million at UBS moves to Raymond James
NEWS BROKER DEALERS MAY 15, 2020
Team managing $360 million at UBS moves to Raymond James

Isaacs & Paller Wealth Management in Woodland Hills, Calif., is joining the firm’s employee adviser channel

3 Questions: Firm leveraging clients’ charitable efforts
YOUR PRACTICE PRACTICE MANAGEMENT MAY 15, 2020
3 Questions: Firm leveraging clients’ charitable efforts

Thrivent's Luke Winskowski discusses how they're helping clients support charitable causes

Finra bars no-show former Ameriprise rep
NEWS BROKER DEALERS MAY 14, 2020
Finra bars no-show former Ameriprise rep

Arthur Hoffman was suspended by the firm last month for outside business interests

SEC charges advisers with breaching fiduciary duty over fund choices
NEWS RIAS MAY 14, 2020
SEC charges advisers with breaching fiduciary duty over fund choices

Hybrid Ambassador Advisors used 12b-1 funds instead of less costly versions

LPL to open tech center in Austin, Texas
NEWS BROKER DEALERS MAY 13, 2020
LPL to open tech center in Austin, Texas

Firm is looking to hire now before site is completed

Court orders Florida Ponzi duo to pay $1.8 million penalty
NEWS REGULATION AND LEGISLATION MAY 12, 2020
Court orders Florida Ponzi duo to pay $1.8 million penalty

Neil Burkholz and Frank Bianco are also required to disgorge more than $860,000

Two Wells Fargo FiNet reps managing $315 million move to LPL
NEWS BROKER DEALERS MAY 12, 2020
Two Wells Fargo FiNet reps managing $315 million move to LPL

Brian Wall and Joe Nastasi will merge their practices in the Kansas City, Mo., area

Last chance to participate in InvestmentNews' 2020 Adviser Benchmarking Survey
YOUR PRACTICE PRACTICE MANAGEMENT MAY 11, 2020
Last chance to participate in InvestmentNews' 2020 Adviser Benchmarking Survey

Those who take the survey will get free copies of two studies, as well as other perks

Pandemic means changes for advisers' firms and their clients
NEWS OPINION MAY 10, 2020
Pandemic means changes for advisers' firms and their clients

Advisers are likely to face many discomforting discussions as the new economic and market reality unfolds

Finra fines former LPL rep for falsifying client net worth
NEWS BROKER DEALERS MAY 08, 2020
Finra fines former LPL rep for falsifying client net worth

Donald Woods inflated retirees’ wealth figures so that he could sell them REITs