Already a Financial Advisor IQ Reader?
May 17, 2019
Wells Fargo Slams Sacked Employee's Lawsuit Claims as "Tenuous at Best"
The ex-advisor argues the wirehouse fired him for complaining about criminal behavior in the office.
Has Goldman Sachs Overpaid in $750 Million United Capital Deal?
Move comes as Goldman’s chief refocuses the company toward retail investors.
Morgan Stanley to Move FA Clients from Quarterly to Monthly Billing
The change goes into effect in the first quarter of 2020.
Edward Jones and LPL are Reviewing Fees, Products and Potential Conflicts To Prepare for SEC Reg BI
Both firms are leveraging lessons they learned from their DOL rule preparations.
Merrill Lynch Loses Billion-Dollar Team to This Rival
The duo has joined Raymond James & Associates in Pennsylvania.
Fiduciaries Aren't Free of Conflict, Warns SEC Lawyer
The regulator is working on language to clarify the fiduciary standard for investment advisors.
VideoWhat Goldman Sachs Might Be Getting Out of United Capital Purchase
Finra to Urge BD Firms to Use Innovative Design Techniques for Disclosures
The goal is to make disclosures easier for investors to understand.
SEC Scores Court Win Against Brokerage Over Fraud Allegations
The regulator had charged Portfolio Advisors Alliance and two of its executives with fraud over misrepresentations in a fund’s offering documents.
LPL Nabs $140 Million Practice from Advisor Group
Michigan Retirement Advisors was previously affiliated with Advisor Group’s FSC Securities.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|