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SEC Chairman Clayton advised to drop bid for U.S. attorney
PRACTICE MANAGEMENT JUN 22, 2020
SEC Chairman Clayton advised to drop bid for U.S. attorney

The dispute between Attorney General Barr and Geoffrey Berman has cast a shadow over Clayton's nomination for the position

Don’t conflate diversity and ESG
PRACTICE MANAGEMENT JUN 21, 2020
Don’t conflate diversity and ESG

For the financial advice community, achieving diversity represents its future

SEC nominee Crenshaw brings deep knowledge of agency, Reg BI
PRACTICE MANAGEMENT JUN 19, 2020
SEC nominee Crenshaw brings deep knowledge of agency, Reg BI

The Democratic choice is likely to be paired with Republican Hester Peirce in the confirmation process

LPL Financial updates service center with new tech tools
FINTECH JUN 18, 2020
LPL Financial updates service center with new tech tools

From live chat to interactive voice response, the broker-dealer is hoping to enhance the adviser user experience

U.S. Bank taps veteran wirehouse exec to head advisory unit
PRACTICE MANAGEMENT JUN 18, 2020
U.S. Bank taps veteran wirehouse exec to head advisory unit

Beth Lawlor was named president of the bank’s private wealth management business

Finra board approves enforcement tech upgrade
PRACTICE MANAGEMENT JUN 18, 2020
Finra board approves enforcement tech upgrade

The panel also advanced a proposal to target exam cheating and pledged to increase the diversity of its membership

UBS team managing $400 million creates RIA
RIAS JUN 18, 2020
UBS team managing $400 million creates RIA

Interchange Capital Partners in Pittsburgh, Pa., will use Pershing and Dynasty Financial Partners

Wells Fargo sells $3 billion alternatives platform to iCapital
ALTERNATIVES JUN 18, 2020
Wells Fargo sells $3 billion alternatives platform to iCapital

Following an industry trend, the bank will leverage iCapital's technology to offer a white-label platform to clients

Wells Fargo taps new head of wealth management group
PRACTICE MANAGEMENT JUN 18, 2020
Wells Fargo taps new head of wealth management group

Barry Sommers takes over for Jon Weiss, who was promoted earlier this year

Carson Wealth affiliate acquires $126 million RIA
PRACTICE MANAGEMENT JUN 18, 2020
Carson Wealth affiliate acquires $126 million RIA

Boston-area RIA Atlantic Capital Management has been bought by Andrew Nigrelli

Merrill Lynch team managing $525 million moves to Raymond James
BROKER DEALERS JUN 18, 2020
Merrill Lynch team managing $525 million moves to Raymond James

The seven-member group in Coeur d’Alene, Idaho, joins the firm’s employee unit

Addepar taps BlackRock exec as CTO
FINTECH JUN 17, 2020
Addepar taps BlackRock exec as CTO

Ruchir Swarup becomes the firm's chief technology officer after almost 20 years at the asset manager

Client demand is up, but advisers are falling behind on tech
FINTECH JUN 17, 2020
Client demand is up, but advisers are falling behind on tech

Wealth managers need to beef up tech investments to compete with larger institutions in a post-pandemic world, according to a recent study

Ugly road for adviser diversity at Morgan Stanley: Lawsuit
PRACTICE MANAGEMENT JUN 17, 2020
Ugly road for adviser diversity at Morgan Stanley: Lawsuit

Under CEO James Gorman, the wirehouse's diversity effort has moved in reverse, according to complaint

Build a more diverse practice now
OPINION JUN 17, 2020
Build a more diverse practice now

When it comes time to select an adviser, investors overwhelmingly choose advisers with demographics similar to their own

Wells Fargo ties pay of top execs to improving diversity
PRACTICE MANAGEMENT JUN 17, 2020
Wells Fargo ties pay of top execs to improving diversity

CEO Scharf sets a goal of doubling black leaders at the bank within the next five years

Oranj adds individual equities to model marketplace
FINTECH JUN 16, 2020
Oranj adds individual equities to model marketplace

The addition of Liberty One expands the firm's offerings beyond mutual funds and ETFs

Morgan Stanley sued for racial bias by former diversity head
PRACTICE MANAGEMENT JUN 16, 2020
Morgan Stanley sued for racial bias by former diversity head

Marilyn Booker, the firm's first global head of diversity, says it refused to adopt her plan to address racial bias

SEC chairman emphasizes Reg BI protections on rollovers, complex product sales
RETIREMENT PLANNING JUN 16, 2020
SEC chairman emphasizes Reg BI protections on rollovers, complex product sales

Pandemic conditions make acting in clients’ interests even more important, Jay Clayton says

TD Ameritrade applies 'dating app' innovation to RIA M&A
RIAS JUN 16, 2020
TD Ameritrade applies 'dating app' innovation to RIA M&A

Critics of the new platform wonder if the anonymous nature of the interactions will work for personalized deals