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YOUR PRACTICE FINTECH JUL 01, 2018
Why You Need an Active Social Media Presence

Potential clients educate themselves online long before they pick up the phone to schedule an appointment. How can you make a good digital first impression? Hint: Start small and be consistent.

Investors don't have a clue about using 401(k) savings, Cerulli says
RETIREMENT RETIREMENT PLANNING JUN 29, 2018
Investors don't have a clue about using 401(k) savings, Cerulli says

Plan participants have no idea how they will use their 401(k) savings when they retire, Cerulli study shows.

Raymond James names Scott Curtis to head private client business
YOUR PRACTICE PRACTICE MANAGEMENT JUN 29, 2018
Raymond James names Scott Curtis to head private client business

Scott Curtis will head private client business, while Tash Elwyn adds title of CEO of employee business

Morgan Stanley to pay $3.6 million penalty for failure to supervise adviser
NEWS REGULATION AND LEGISLATION JUN 29, 2018
Morgan Stanley to pay $3.6 million penalty for failure to supervise adviser

SEC says firm did not have policies and procedures in place to prevent misuse of funds

Wells Fargo loses $450 million hybrid to LPL
NEWS RIAS JUN 28, 2018
Wells Fargo loses $450 million hybrid to LPL

New York-based Rockline Wealth Management will use B-D and RIA platforms.

Mary Schapiro elected to Morgan Stanley board
YOUR PRACTICE PRACTICE MANAGEMENT JUN 27, 2018
Mary Schapiro elected to Morgan Stanley board

Executive has served as the chair of the SEC, Finra and the CFTC

Larry Roth joins Vestorly's advisory board
YOUR PRACTICE FINTECH JUN 27, 2018
Larry Roth joins Vestorly's advisory board

Brokerage veteran will help content marketing company develop new services.

Vanguard files for two ETFs with ESG focus
INVESTING ESG JUN 27, 2018
Vanguard files for two ETFs with ESG focus

One fund to be U.S.-oriented, one will be international.

Finra bars former broker over unsuitable alt investments, including REITs
NEWS REGULATION AND LEGISLATION JUN 27, 2018
Finra bars former broker over unsuitable alt investments, including REITs

Kyusun Kim also allegedly falsified elderly customers' wealth to allow sales

Finra panel orders Woodbury to pay customers $1.1 million
NEWS REGULATION AND LEGISLATION JUN 26, 2018
Finra panel orders Woodbury to pay customers $1.1 million

Arbitration panel says firm failed to supervise former broker's unsuitable transactions.