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Reps managing $319 million move to Raymond James
NEWS INDUSTRY NEWS JUN 12, 2019
Reps managing $319 million move to Raymond James

Daniel Nickow and Brett Salzer join employee unit in Deerfield, Ill.

Tax reform changed the way advisers promote charitable giving, Fidelity survey says
NEWS INDUSTRY NEWS JUN 12, 2019
Tax reform changed the way advisers promote charitable giving, Fidelity survey says

The portion of clients with whom advisers discussed giving has risen to 58% from 46% in 2015, fidelity survey shows

Finra bars former head of B-D over money-laundering lapses
NEWS REGULATION AND LEGISLATION JUN 12, 2019
Finra bars former head of B-D over money-laundering lapses

Donna Jean Flemming failed to implement adequate AML program, regulator says

Finra bars former UBS rep involved in trading away investigation
NEWS INDUSTRY NEWS JUN 12, 2019
Finra bars former UBS rep involved in trading away investigation

Nicolas Barrios refused to take part in inquiry over private company he founded.

Vanguard study finds employers, employees improving retirement plan behaviors
RETIREMENT RETIREMENT PLANNING JUN 11, 2019
Vanguard study finds employers, employees improving retirement plan behaviors

Automatic enrollment now standard at 48% of company's plans, up from 20% a decade ago.

Texas suspends one adviser, orders second to repay commissions
NEWS REGULATION AND LEGISLATION JUN 10, 2019
Texas suspends one adviser, orders second to repay commissions

Mark Trewitt sold private fund that collapsed; Clair Crossland sold risky investments

Wells Fargo to pay $385 million in auto insurance scam
NEWS REGULATION AND LEGISLATION JUN 07, 2019
Wells Fargo to pay $385 million in auto insurance scam

According to suit, Wells Fargo customers were "forced to pay for auto insurance they did not need or want."

Finra bars former LPL rep for non-cooperation
NEWS REGULATION AND LEGISLATION JUN 07, 2019
Finra bars former LPL rep for non-cooperation

Jason Nelson refused to take part in annuity sale inquiry.

Study finds 85 percent of advisers use model portfolios
NEWS INDUSTRY NEWS JUN 06, 2019
Study finds 85 percent of advisers use model portfolios

Broadridge found 78% of advisers believe clients care more about planning than outperformance.

Merrill Lynch reps managing $590 million move to Stifel
NEWS INDUSTRY NEWS JUN 06, 2019
Merrill Lynch reps managing $590 million move to Stifel

Two advisers based in Dallas will open office in Frisco, Texas.