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Site Map for June 2022
Date
Title
Jun 30, 2022
Finra arbitration orders D.E. Shaw to pay former manager $52 million in defamation suit
Jun 30, 2022
Gensler: SEC working on bulletins to illuminate aspects of Reg BI
Jun 30, 2022
Pontera expands access to held-away account management with GeoWealth partnership
Jun 30, 2022
UBS to pay punitive damages in $1.3 million arbitration loss over options strategy
Jun 30, 2022
Registrations soar ahead of California auto-IRA deadline
Jun 30, 2022
Social Security program needs reform now
Jun 30, 2022
Texas advisers managing $220 million switch to Raymond James from LPL
Jun 30, 2022
Grayscale suing SEC after its Bitcoin ETF is rejected
Jun 29, 2022
SEC orders UBS to pay $25 million over fraud involving YES options strategy
Jun 29, 2022
Prime Pensions acquires Northwest Retirement Plan Consultants
Jun 29, 2022
A happenstance focus on wealthy widows
Jun 29, 2022
Law firm hired by Finra bats down criticism of its selection of arbitrators
Jun 29, 2022
Crypto tax cheats likely to get relief as US crackdown hits snag
Jun 29, 2022
Inflation rising but 401(k) mutual fund fees falling, says ICI report
Jun 29, 2022
Nuveen ‘net zero’ ETF includes oil and gas holdings
Jun 29, 2022
Match retirement cash flow with clients' long-term goals
Jun 29, 2022
Raymond James to rebrand Carillon Tower Advisers
Jun 29, 2022
Advisers finding value in joining smaller firms
Jun 29, 2022
What to do if your client wins the lottery
Jun 28, 2022
Why finfluencers especially resonate with women and minorities
Jun 28, 2022
Fitch sees 'benefits' in Advisor Group's latest deal
Jun 28, 2022
Burr hopes to include 529-to-Roth bill in final retirement legislation
Jun 28, 2022
Cetera Financial Group hacked via printing vendor
Jun 28, 2022
Co-CEOs appointed at GW&K Investment Management
Jun 28, 2022
SEI introduces model portfolios using Dimensional ETFs
Jun 28, 2022
CAIS alternatives platform valued at $1.1 billion after latest funding round
Jun 28, 2022
MAI Capital acquires RIA managing over $368 million
Jun 28, 2022
5 ways to identify a good fit when picking a platform for your firm
Jun 28, 2022
Merrill trio managing $453 million joins Raymond James
Jun 28, 2022
Yield-hungry investors are flocking to high-dividend ETFs
Jun 27, 2022
Inflation causes shift in retirement priorities
Jun 27, 2022
FTX is seeking a path to buy Robinhood
Jun 27, 2022
Finra allocates $30 million of fine money to educate self-directed online investors
Jun 27, 2022
Citigroup private banker gets $1.4 million in harassment claim
Jun 27, 2022
Gold steps up once again as the ultimate bear market hedge
Jun 27, 2022
8 ways to inspire trust in prospects and clients
Jun 27, 2022
The SEC's lawsuit against Western International Securities
Jun 27, 2022
Hybrid merger creates RIA managing $350 million
Jun 27, 2022
JPMorgan will cover employees’ abortion-travel costs starting next month
Jun 27, 2022
Goldman says signs are here of belt-tightening impact to profits
Jun 27, 2022
Bob Doll midyear predictions: 10-0 still in play
Jun 24, 2022
UBS nabs $500 million Merrill team
Jun 24, 2022
Fintech Bytes: Bento Engine, RIA in a Box and Wealthramp
Jun 24, 2022
Investors win $975,000 in Finra arbitration involving UBS YES product
Jun 24, 2022
Number of Ponzi schemes dropped last year, but what will happen in 2022?
Jun 24, 2022
The complexities of investing in alternatives
Jun 24, 2022
Stock funds see exodus as recession fears grip investors
Jun 23, 2022
Finra sets big change in motion with new option for licensing grace period
Jun 23, 2022
Maine insurance agency's Juneteenth sign triggers online backlash
Jun 23, 2022
Middle-income Americans' big question: To contribute or not to contribute?
Jun 23, 2022
IAA snapshot portrays a thriving RIA sector
Jun 23, 2022
Study shows retirement regret over too much spending, too little planning
Jun 23, 2022
Finra hits National Securities with $9 million penalty
Jun 23, 2022
Bank of America deepens ties to iCapital alts platform with strategic investment
Jun 23, 2022
UBS duo managing $148 million go indie with Raymond James
Jun 23, 2022
Duo managing $215 million at Morgan Stanley bolt for LPL
Jun 23, 2022
Wealth Enhancement Group to acquire $574 million RIA
Jun 23, 2022
SEC to propose new rules for online brokers’ game-like features
Jun 22, 2022
What millennials should expect from Social Security
Jun 22, 2022
Alex. Brown head Haig Ariyan to leave July 15
Jun 22, 2022
Another Senate committee unanimously passes retirement savings legislation
Jun 22, 2022
Economic uncertainty puts alternative investments front and center
Jun 22, 2022
Generating tax alpha takes much more than tax harvesting
Jun 22, 2022
Retirement benefits key to attracting new hires: TIAA survey
Jun 22, 2022
SEC’s climate disclosure proposal hits nerves
Jun 22, 2022
Los Angeles hybrid managing $300 million goes to LPL from MML
Jun 22, 2022
Advisor Group rolls with another B-D acquisition
Jun 22, 2022
Morgan Stanley at Work acquires executive benefits firm
Jun 22, 2022
Is your custodian or IBD holding you back?
Jun 22, 2022
Accelerate inclusion by adopting agile strategies
Jun 21, 2022
How firms can win the next generation of talent
Jun 21, 2022
The trouble with tech integration
Jun 21, 2022
Senate Finance Committee to take up massive retirement savings bill
Jun 21, 2022
Supreme Court rejects challenge to SEC 'gag order' Musk opposed
Jun 21, 2022
Finra dings another IBD over sales of GPB private placements
Jun 21, 2022
SEC considers whether to increase oversight of model portfolio, index, pricing service providers
Jun 21, 2022
Succession plan services gain traction as a tool for recruiting, making acquisitions
Jun 21, 2022
Morgan Stanley, Goldman strategists see more stock market losses
Jun 21, 2022
Fidelity launches DIY custom indexing
Jun 21, 2022
Duo managing $850 million at Citi moves to Raymond James
Jun 21, 2022
Shift in Bitcoin flows stirs hope for the battered crypto market
Jun 21, 2022
Hester Peirce provides insight from inside the SEC
Jun 21, 2022
Hub acquires $205 million Pennsylvania RIA
Jun 21, 2022
SageView to acquire $321 million Los Angeles RIA
Jun 21, 2022
Morgan Stanley wealth manager wins fight over Manhattan condo tied to 1MDB
Jun 21, 2022
Value of a financial adviser clear, questions remain about Social Security: Study
Jun 20, 2022
Classic 60/40 strategy set for worse quarter than in 2008
Jun 20, 2022
Direct indexing gains appeal as taxable losses mount
Jun 20, 2022
Wirehouses ditched recruiting years ago, but hit records in 2021. What changed?
Jun 20, 2022
A bear market is not the time to hibernate
Jun 19, 2022
Nominate an amazing woman for the 2022 Women to Watch Awards
Jun 17, 2022
Almost mainstream, LGBTQ couples still need specialized planning
Jun 17, 2022
Fintech Bytes: Vise, CapIntel and Morningstar
Jun 17, 2022
SEC returns to full strength, not yet full speed
Jun 17, 2022
New diversity tools arriving just in time to win the war for talent
Jun 17, 2022
Tyrone Ross continues to bang the crypto drum with new ventures
Jun 17, 2022
Edelman Financial Engines launches adviser/robo retirement solution
Jun 16, 2022
Pershing launches next-gen NetX360 at annual adviser conference
Jun 16, 2022
Beware of incorrect advice about claiming Social Security benefits
Jun 16, 2022
Fintech startups tighten belts, bracing for extended bear market
Jun 16, 2022
SEC takes first substantive Reg BI enforcement action
Jun 16, 2022
Wholesalers at B-D that sold GWG bonds jump ship
Jun 16, 2022
Two large Northwestern Mutual practices merge
Jun 16, 2022
New LPL program gives advisers more tools to attract, serve the rich
Jun 16, 2022
Investors willing to sacrifice returns for ESG goals
Jun 16, 2022
Bond market losses just beginning as Fed sets path to 4% yields
Jun 15, 2022
Billion-dollar Merrill trio bolts for Cetera
Jun 15, 2022
Three wealth management podcasts win awards at second annual competition
Jun 15, 2022
Top Democrat seeks probe on crypto use in retirement accounts
Jun 15, 2022
How to prepare your clients for 401(k) statement shock
Jun 15, 2022
Fed hikes rates 75 basis points, intensifying inflation fight
Jun 15, 2022
Senate GOP proposal offers investment tax relief to fight inflation
Jun 15, 2022
Another former head of Wells Fargo Advisors leaves the bank
Jun 15, 2022
SEC’s Goldman, BNY moves hint at more ESG investigations
Jun 15, 2022
Anticipating more pain ahead, advisers stress long-term perspective
Jun 15, 2022
Wells team managing $630 million goes indie with Raymond James
Jun 15, 2022
Carson Group adds $200 million firm
Jun 15, 2022
Bitcoin’s unrelenting sell-off puts prices on verge of $20,000
Jun 15, 2022
One size does not fit all: Finding the right ESG investments for wealthy clients
Jun 14, 2022
Billion-dollar Merrill team goes indie with Sanctuary
Jun 14, 2022
Senate committee approves comprehensive retirement savings bill
Jun 14, 2022
Lido Advisors acquires $800 million trust company
Jun 14, 2022
AssetMark buys $9.5 billion TAMP business from Vestmark
Jun 14, 2022
Wells Fargo to focus on indie B-D business. For real
Jun 14, 2022
Investing for racial equity in a returns-driven world
Jun 14, 2022
Weiss Asset Management settles with SEC for $6.9 million
Jun 14, 2022
Mariner Wealth scoops up $1 billion RIA
Jun 13, 2022
Morgan Stanley CEO Gorman sees 50% recession risk
Jun 13, 2022
Senate committee poised to vote on retirement savings bill
Jun 13, 2022
SEC hits Schwab robo-adviser with $187 million fine
Jun 13, 2022
As markets slide, more advisers are sending clients to I bonds
Jun 13, 2022
LPL sniffing around Philly broker-dealer: Report
Jun 13, 2022
Recession fears spark retirement planners to action
Jun 13, 2022
Genstar leads recapitalization of Cerity Partners
Jun 13, 2022
When it comes to fees, how advisers charge is as important to clients as how much
Jun 13, 2022
Merrill Lynch’s Andy Sieg discusses the recent shift in wealth management
Jun 13, 2022
The latest in financial #AdviserTech — June 2022
Jun 11, 2022
Goldman faces SEC probe of ESG funds
Jun 10, 2022
Fintech Bytes: Prudential, Riskalyze and Future Proof Festival
Jun 10, 2022
Schwab provides four-year grant to encourage planner diversity
Jun 10, 2022
Wall Street and the SEC headed for clash on commission-free trading
Jun 10, 2022
FS Investments exec Michael Gerber joins federal retirement plan board
Jun 10, 2022
Asset-based advisory fees stuck between inflation and a hard place
Jun 10, 2022
Judge tosses class-action complaint against Schwab robo-adviser
Jun 10, 2022
Finra suspends, fines broker who flubbed Covid relief loan application
Jun 10, 2022
Jim O'Shaughnessy exiting OSAM at end of year
Jun 10, 2022
Billion-dollar Wells Fargo private bank trio opts for J.P. Morgan
Jun 10, 2022
SEC’s ESG integration proposals divide industry
Jun 10, 2022
Inflation hits 40-year high, pressuring Fed and Biden
Jun 10, 2022
The bedrock of client experience
Jun 10, 2022
Yellen says crypto is ‘very risky’ option for retirement savers
Jun 10, 2022
Wells Fargo sells off on report of probe of fake job interviews
Jun 09, 2022
401(k) plans are failing middle-class Americans
Jun 09, 2022
How investors are engaging with companies over abortion access
Jun 09, 2022
Biden nominees for key adviser-oversight roles await Senate confirmation
Jun 09, 2022
Reassessing cybersecurity in a changing world
Jun 09, 2022
Reps at firm that sold GWG bonds wanted more exposure to risky alts: B-D execs
Jun 09, 2022
How retiring advisers can avoid going 'shoeless'
Jun 09, 2022
Mercer acquires $130 million RIA
Jun 09, 2022
Wells Fargo duo managing $205 million goes indie with LPL
Jun 09, 2022
State Street falls after report it may acquire Credit Suisse
Jun 08, 2022
SEC takes aim at payment-for-order flow
Jun 08, 2022
Allworth acquires two RIAs, $727 million in assets
Jun 08, 2022
Midlevel a rich but overlooked vein for diverse talent
Jun 08, 2022
UBS loses another YES arbitration case, this one costing more than $1 million
Jun 08, 2022
Putnam planning 5 new active ESG-focused ETFs
Jun 08, 2022
Volatile market, worried clients keep advisers from unplugging this summer
Jun 08, 2022
Group Plan Systems launches PEP
Jun 08, 2022
Trouble with the IRS? Let an ERPA guide you
Jun 08, 2022
SageView acquires $825 million RIA
Jun 08, 2022
How advisers can drive growth in any environment
Jun 08, 2022
In its first RIA buy, Alera Group nearly quadruples its assets to $4.7 billion
Jun 08, 2022
Advisers seeking a deal should look for a seat at the table
Jun 08, 2022
Credit Suisse weighs new round of job cuts
Jun 08, 2022
6 best brokerages ranked by independent advisers: J.D. Power
Jun 07, 2022
Wells Fargo pauses diversity rules for hiring after report of sham interviews
Jun 07, 2022
Citadel Securities, Virtu form crypto plan with Fidelity, Schwab
Jun 07, 2022
Envestnet President Stuart DePina stepping down as part of larger reorganization
Jun 07, 2022
Sweeping US crypto legislation targets stablecoins, mining
Jun 07, 2022
Paxos to help broker-dealers introduce crypto trading to advisers
Jun 07, 2022
Stretch IRAs still exist for some beneficiaries
Jun 07, 2022
Vanguard survey highlights retirement complexity, 'Great Resignation' mobility
Jun 07, 2022
Quotas prove irrelevant as companies diversify boards on their own terms
Jun 07, 2022
Fending off taxes, fees and other state threats to adviser autonomy and growth
Jun 07, 2022
Key factors indicate imminent inflation relief
Jun 07, 2022
Limra, Verisk team up to improve fraud detection and prevention
Jun 07, 2022
SEC weighs sending retail stock orders to auctions for execution
Jun 07, 2022
Classic stock certificates offer break from bear market
Jun 07, 2022
Wirehouse recruiting losses have accelerated
Jun 06, 2022
Schwab sued over payment for order flow
Jun 06, 2022
Banks, tech giants losing skilled workers to flexible fintechs
Jun 06, 2022
RayJay appoints sustainable investing head
Jun 06, 2022
Investors approve ESG proposals at Lowe’s, Twitter, Travelers
Jun 06, 2022
Hello to alternatives in retirement accounts
Jun 06, 2022
Leading state regulator sees arbitration reform gaining momentum
Jun 06, 2022
Policy trumps democracy for most lobbyists ahead of midterms
Jun 06, 2022
Indie managing $400 million switches to Avantax from FSC
Jun 06, 2022
Lance Dial weighs in on the SEC's proposed ESG regulations
Jun 06, 2022
Hub acquires $1.1 billion retirement plan firm
Jun 06, 2022
Why some experts think peak inflation is near
Jun 06, 2022
Best-performing liquid alternative funds in first half
Jun 06, 2022
InvestmentNews' 2022 class of 40 Under 40
Jun 04, 2022
More summer reading recommendations
Jun 03, 2022
SEC public service campaign sparks outrage online
Jun 03, 2022
Fintech Bytes: AdvisorEngine, eMoney and Invesco's intelliflo
Jun 03, 2022
Lawsuit seeks to kill DOL guidance on using crypto in 401(k)s
Jun 03, 2022
Ex-broker who stole from pension plan gets 6½-year sentence
Jun 03, 2022
Inflation, no longer deemed transitory, puts advisers in scramble mode
Jun 03, 2022
Goldman's Waldron warns of unprecedented economic shocks
Jun 03, 2022
Vontobel creates four CITs
Jun 02, 2022
Social Security report projects trust fund exhaustion in 2035
Jun 02, 2022
Retiree travel dreams reimagined
Jun 02, 2022
Virginia announces auto-IRA program, Vestwell to administer
Jun 02, 2022
Group overseeing $800 million switches to SagePoint from Lincoln
Jun 02, 2022
Blackstone keeps eye on retail, Morgan Stanley open to more deals: Execs
Jun 02, 2022
Merrill pays $15.2 million to investors who spent too much for mutual funds
Jun 02, 2022
Finra appoints Michael Solomon to head examinations
Jun 02, 2022
Janney duo managing $375 million moves to Alex. Brown
Jun 02, 2022
Why anxious retirees should consider closed-end funds
Jun 02, 2022
Fidelity adds health-related ESG fund
Jun 02, 2022
Wealth Enhancement Group buys $1.7 billion Kings Point Capital Management
Jun 01, 2022
Savant invests $3 million to help Australian fintech expand into US wealth market
Jun 01, 2022
SEC orders San Diego B-D to pay $800,000 over fund share class disclosures
Jun 01, 2022
Envestnet buys 401kplans.com, expanding retirement offerings
Jun 01, 2022
Market correction puts Roth conversions on the front burner
Jun 01, 2022
Raymond James completes acquisition of TriState Capital
Jun 01, 2022
Mariner Wealth to add $347 million RIA
Jun 01, 2022
Become part of your client's business team as risk management partner
Jun 01, 2022
Creative Planning's Mallouk sees softening valuations driving more RIA deals
Jun 01, 2022
Variability in ESG ratings makes a murky picture for investors
Jun 01, 2022
Wall Street’s lawyers attack SEC effort to crush greenwashing
Jun 01, 2022
Deutsche Bank replaces DWS’ Woehrmann after greenwash raid
Jun 01, 2022
Independence by any path is still independence
Jun 01, 2022
Negotiating with a custodian
Jun 01, 2022
Advisers' ESG use could be at tipping point: Survey
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