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Adviser wins for his work on ending generational poverty
PRACTICE MANAGEMENT SEP 20, 2021
Adviser wins for his work on ending generational poverty

Invest in Others' Catalyst Award winner is Ralph Ujano for his work with Helping Hands for Single Moms Dallas.

Joanna Rotenberg to head Fidelity’s personal investing division
PRACTICE MANAGEMENT SEP 20, 2021
Joanna Rotenberg to head Fidelity’s personal investing division

The wealth management chief at BMO Financial will succeed Kathy Murphy, who plans to step down before the end of the year.

Finra dings former Merrill broker for not reporting pot bust
PRACTICE MANAGEMENT SEP 20, 2021
Finra dings former Merrill broker for not reporting pot bust

The broker, Shaiful Chowdhury, was arrested for possession of 10 pounds of marijuana a month after he joined Merrill Lynch in New York City.

Regulators: Trading app nudges could be investment advice, trigger Reg BI
PRACTICE MANAGEMENT SEP 20, 2021
Regulators: Trading app nudges could be investment advice, trigger Reg BI

The more individually tailored a communication to a customer is, the more likely it is a recommendation, SEC Commissioner Allison Herren Lee said during the NASAA fall meeting.

For this adviser, socially responsible investing comes first
PRACTICE MANAGEMENT SEP 20, 2021
For this adviser, socially responsible investing comes first

James Katz tailors his RIA, Humankind Investments, to serve clients who place the greater good at the top of mind.

Female duo managing $230 million at FiNet returns to LPL
BROKER DEALERS SEP 20, 2021
Female duo managing $230 million at FiNet returns to LPL

Carrie Turcotte and Crystal Walker run NorthShore Financial Strategies in Chattanooga, Tennessee.

Billion-dollar Merrill Lynch team moves to RBC
PRACTICE MANAGEMENT SEP 17, 2021
Billion-dollar Merrill Lynch team moves to RBC

Known as the Inter Alia Group, four reps and four associates make switch in Portland, Oregon.

Fidelity to offer email security tool to RIAs, B-Ds
FINTECH SEP 17, 2021
Fidelity to offer email security tool to RIAs, B-Ds

The cybersecurity solution, which aims to protect advisers and their end clients' business email, comes from tech firm Armorblox.

AdvicePay launches customizable compliance tool
FINTECH SEP 17, 2021
AdvicePay launches customizable compliance tool

AdvicePay, the payment tool co-founded by Michael Kitces, is trying to make it easier for large advisory firms to adopt differing fee models — and accept payment in a compliant manner.

Finra probes brokerages' use of social media for prospecting
FINTECH SEP 17, 2021
Finra probes brokerages' use of social media for prospecting

The broker-dealer self-regulator launched the exam sweep a couple of weeks after the Securities and Exchange Commission released a request for comment about the “digital engagement practices” used by investment advisers and broker-dealers.

Participants say plan websites are frustrating
RETIREMENT PLANNING SEP 17, 2021
Participants say plan websites are frustrating

A J.D. Power study finds that only 43% of users say it’s easy to locate needed information on retirement plan sites.

Finra suspends salesman over commuting expenses
PRACTICE MANAGEMENT SEP 17, 2021
Finra suspends salesman over commuting expenses

The salesman, Anthony DeJohn, improperly used BMO's funds by charging to his corporate card and obtaining reimbursement for $2,270 in daily commuting expenses, according to Finra.

Trio managing $366 million at Voya joins Royal Alliance
BROKER DEALERS SEP 17, 2021
Trio managing $366 million at Voya joins Royal Alliance

Altus Consulting Group, based in Texas and Wisconsin, becomes an office of supervisory jurisdiction.

Nebraska bank program managing $300 million switches to LPL
BROKER DEALERS SEP 17, 2021
Nebraska bank program managing $300 million switches to LPL

Sandstone Wealth and its two advisers were formerly affiliated with Raymond James and Royal Alliance.

The impact versus the job: Lessons on making a noble profession
OPINION SEP 16, 2021
The impact versus the job: Lessons on making a noble profession

I believe we can fundamentally change people’s lives for the better through financial advice.

Finra extends brokerage office remote inspections into 2022
PRACTICE MANAGEMENT SEP 16, 2021
Finra extends brokerage office remote inspections into 2022

The rule change is effective immediately and will become operative on Jan. 1, if the Securities and Exchange Commission does not object.

Fidelity to beef up digital channels with 800 tech hires
FINTECH SEP 16, 2021
Fidelity to beef up digital channels with 800 tech hires

The company is investing to build out products like its Youth Account and digital asset trading solutions like Sherlock.

SALT conference panel demystifies crypto custody concerns
ALTERNATIVES SEP 15, 2021
SALT conference panel demystifies crypto custody concerns

Crypto custodians must provide the same types of institutional infrastructure available to any other asset classes.

What's LPL's recruiting deal for employee advisers?
BROKER DEALERS SEP 15, 2021
What's LPL's recruiting deal for employee advisers?

LPL's new deal to attract employee advisers has two parts: an upfront signing bonus and a second bonus that's paid over several years.

Sawtooth Solutions acquired by Simplicity Group
FINTECH SEP 15, 2021
Sawtooth Solutions acquired by Simplicity Group

The acquisition was announced more than a year after Sawtooth brought on Echelon Partners as its investment banker to land more capital.