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What to do if your client wins the lottery
LIFE INSURANCE AND ANNUITIES JUN 29, 2022
What to do if your client wins the lottery

Advisers weigh in with their suggestions for the lucky individual who has the winning ticket for the Mega Millions drawing.

Why finfluencers especially resonate with women and minorities
FINTECH JUN 28, 2022
Why finfluencers especially resonate with women and minorities

Style often trumps substance for personal finance commentators on social media platforms, though some are blending the best of digital and traditional advice

Cetera Financial Group hacked via printing vendor
FINTECH JUN 28, 2022
Cetera Financial Group hacked via printing vendor

The 'external system breach' put the Social Security numbers of 2,188 of the firm's clients at risk, according to the Maine Attorney General's office.

Co-CEOs appointed at GW&K Investment Management
PRACTICE MANAGEMENT JUN 28, 2022
Co-CEOs appointed at GW&K Investment Management

Thomas Powers, Bill Roberts share top spot; Harold Kotler becomes chairman effective July 1.

SEI introduces model portfolios using Dimensional ETFs
PRACTICE MANAGEMENT JUN 28, 2022
SEI introduces model portfolios using Dimensional ETFs

The suite of six portfolios can be accessed on SEI’s platform for advisers.

5 ways to identify a good fit when picking a platform for your firm
OPINION JUN 28, 2022
5 ways to identify a good fit when picking a platform for your firm

There are important things to consider when selecting a platform that researching online or LinkedIn won't tell you.

Citigroup private banker gets $1.4 million in harassment claim
PRACTICE MANAGEMENT JUN 27, 2022
Citigroup private banker gets $1.4 million in harassment claim

A Finra arbitration panel rules in favor of Erin Daly, who filed a federal complaint against Citigroup alleging gender discrimination.

Gold steps up once again as the ultimate bear market hedge
EQUITIES JUN 27, 2022
Gold steps up once again as the ultimate bear market hedge

While it might be a lousy long-term investment, gold has a proven track record of rising to the occasion when times are tough.

8 ways to inspire trust in prospects and clients
OPINION JUN 27, 2022
8 ways to inspire trust in prospects and clients

Relationships with clients are built on trust. Here are ways advisers can help accelerate the trust-building process.

JPMorgan will cover employees’ abortion-travel costs starting next month
PRACTICE MANAGEMENT JUN 27, 2022
JPMorgan will cover employees’ abortion-travel costs starting next month

Benefit will go into effect July 1 at JPMorgan, Goldman Sachs and Bank of America.

Fintech Bytes: Bento Engine, RIA in a Box and Wealthramp
FINTECH JUN 24, 2022
Fintech Bytes: Bento Engine, RIA in a Box and Wealthramp

Here are the rest of the week’s fintech stories.

The complexities of investing in alternatives
OPINION JUN 24, 2022
The complexities of investing in alternatives

Advisory firms' challenges when it comes to alts range from getting access to investments, meeting minimums, figuring out how to subscribe and the headache of performance reporting.

Finra sets big change in motion with new option for licensing grace period
PRACTICE MANAGEMENT JUN 23, 2022
Finra sets big change in motion with new option for licensing grace period

The new Maintaining Qualifications Program reconciles Finra licensing requirements with common career and family timelines.

Maine insurance agency's Juneteenth sign triggers online backlash
PRACTICE MANAGEMENT JUN 23, 2022
Maine insurance agency's Juneteenth sign triggers online backlash

The agency's notice that it was closed for the Juneteenth holiday was criticized as racist and led two major insurance companies to break ties with the agency.

Finra hits National Securities with $9 million penalty
ALTERNATIVES JUN 23, 2022
Finra hits National Securities with $9 million penalty

The regulator sanctioned the broker-dealer for violations related to its marketing of securities it had underwritten and failings related to sales of GPB private placements.

SEC to propose new rules for online brokers’ game-like features
FINTECH JUN 23, 2022
SEC to propose new rules for online brokers’ game-like features

SEC Chair Gary Gensler has raised concerns with how features closely associated with the mobile phone apps offered by brokers can impact trading.

Alex. Brown head Haig Ariyan to leave July 15
PRACTICE MANAGEMENT JUN 22, 2022
Alex. Brown head Haig Ariyan to leave July 15

Bill Seugling will head global wealth solutions at parent Raymond James. He will report to Scott Curtis, president of the Raymond James private client group.

Is your custodian or IBD holding you back?
OPINION JUN 22, 2022
Is your custodian or IBD holding you back?

Some custodians and IBDs will require that an advisory firm move its assets off their platform if the firm is acquired or merges with one of the consolidators.

Accelerate inclusion by adopting agile strategies
OPINION JUN 22, 2022
Accelerate inclusion by adopting agile strategies

Methods honed by the tech and manufacturing industries are surprisingly relevant and effective for workplace culture

How firms can win the next generation of talent
PRACTICE MANAGEMENT JUN 21, 2022
How firms can win the next generation of talent

Wealth management firms vying for next-gen talent must rethink long-held expectations about how, where and why people go to work, according to speakers at InvestmentNews' 40 Under 40 gathering.