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          • Morgan Stanley, UBS Advisor movesMorgan Stanley Rehires $3.3-Mln UBS Team in North Carolina
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Fidelity

Finra sign
11/13/20 | News | Fidelity, FINRA, JP Morgan

Finra Fines, Suspends Broker Who Sold Customer Data After Resigning

UBS
Fidelity, SunTrust, UBS

UBS Hires Brokers With $2.4 Million From SunTrust, Fidelity, Merrill

8/20/20 | Advisor Moves, News | 4 Comments

The Swiss bank also hired a broker from Merrill to become its assistant market head for northern California, according to a memo seen by AdvisorHub

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Merrill Broker Sued by Fidelity Agrees to Stop Client Solicitation
Fidelity, Merrill Lynch

Merrill Broker Sued by Fidelity Agrees to Stop Client Solicitation

8/4/20 | News

In what may acknowledge the difficulties of litigating during the coronavirus crisis, Fidelity and former broker reached an agreement on calling his former clients.

Read More

Fidelity
Charles Schwab, Fidelity, Merrill Lynch

Fidelity Sues Atlanta Broker Who Joined Merrill Lynch

7/27/20 | News

Accuses advisor who was managing $356 million of breaching his employment contract by soliciting clients and offering at least one of them lower fees.

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Edward Jones
Charles Schwab, Edward Jones, Fidelity

Edward Jones Applies for Bank Charter, Hires Former UBS Banker

7/1/20 | News

The bank, which is expected to begin operations in late 2021, will expand Jones’ securities-based lending menu and give it deposit capabilities.

Read More

fidelity-posts-help-wanted-for-advisors-customer-reps
Charles Schwab, Fidelity

Fidelity Posts ‘Help Wanted’ for Advisors, Customer Reps

4/13/20 | Coronacrash, News

Fund and brokerage behemoth accelerates hiring of about 2,000, including licensed advisors, to contend with questions spawned by volatile markets and government extension of tax and IRA contribution filings.

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Fidelity-Enjoins-Morgan-Stanley-Florida-Broker-In-Non-Solicit-Case
Fidelity, Morgan Stanley

Fidelity Enjoins Morgan Stanley, Florida Broker in Non-Solicit Case

1/2/20 | News

Morgan Stanley and a broker it hired in June have agreed not to contact former clients pending the outcome of a parallel claim Fidelity has brought in arbitration.

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T-Rowe-Fidelity-Score-Green-Light-For-Etfs-That-Hide-Holdings-772x485
Fidelity, T. Rowe Price

T. Rowe, Fidelity Score Green Light for ETFs That Hide Holdings

11/15/19 | News

The U.S. Securities and Exchange Commission said it plans to approve active non-transparent ETFs from T. Rowe Price, Natixis, Fidelity and Blue Tractor, according to filings on Thursday.

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Fidelity-Schwab-Vanguard-Outrank-Wirehouses-In-Prospect-Recognition-Cerulli-772x485
Cerulli, Charles Schwab, Fidelity, Merrill Lynch, Vanguard Group

Fidelity, Schwab, Vanguard Outrank Wirehouses in Prospect Recognition–Cerulli

11/13/19 | News | 1 Comment

New survey of brand familiarity finds discount brokerage giants trouncing wirehouses in “unprompted” name recognition across a wide wealth spectrum of investors.

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BlackRock’s Fink: Zero Commissions at Brokers Should Boost iShares Growth
BlackRock, Fidelity

BlackRock’s Fink: Zero Commissions at Brokers Should Boost iShares Growth

10/15/19 | News | 1 Comment

Despite no-cost trading for RIAs and self-directed investors, BlackRock will not pull off of Fidelity’s no-commission ETF platform to save costs, said CEO Larry Fink.

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udge-Halts-Fidelity-Suit-Against-Fleeing-Broker-Who-Claimed-Retaliation
Fidelity

Judge Halts Fidelity Suit Against Fleeing Broker Who Claimed Retaliation

10/14/19 | Enforcement, News | 5 Comments

California advisor who joined an RIA claimed Fidelity filed a client-contact lawsuit against her and her new firm in retaliation for her complaint about a manager and the work environment.

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Fidelity-Joins-Price-War-With-Zero-Commissions-On-Online-Trades
Fidelity

Fidelity Joins Price War With Zero Commissions on Online Trades

10/10/19 | News

Fidelity Investments is crashing the free-trading party, challenging rivals in a gambit to lure assets by ending commissions.

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CORONACRASH NEWS

  • Raymond James Slashes CEO Pay 17% in Turbulent Year

    Raymond James Slashes CEO Pay 17% in Turbulent Year

    Jan 8, 2021
  • Solomon Sees Vaccine Bringing Goldman Staff Back by End of Year

    Solomon Sees Vaccine Bringing Goldman Staff Back by End of Year

    Jan 5, 2021
  • J.P. Morgan Bank Broker Cleared of Coronavirus Crash Claim

    J.P. Morgan Bank Broker Cleared of Coronavirus Crash Claim

    Dec 4, 2020
  • Edward Jones Broker Count Up 5%, Firm Pauses Branch Growth

    Edward Jones Broker Count Up 5%, Firm Pauses Branch Growth

    Nov 5, 2020
  • Merrill Wealth Slowly Eases Out of Covid Slump

    Merrill Wealth Slowly Eases Out of Covid Slump

    Oct 14, 2020

NEWS

  • This Week’s Top Stories: Morgan Stanley Sues RBC Team, Finra Raps Broker over A-Shares, and More

    This Week’s Top Stories: Morgan Stanley Sues RBC Team, Finra Raps Broker over A-Shares, and More

    Jan 16, 2021
  • Merrill’s New Household Growth Fell 40% in 2020–Sources

    Merrill’s New Household Growth Fell 40% in 2020–Sources

    Jan 15, 2021
  • Wells’ Wealth Profit Climbs Despite Continued Broker Attrition

    Wells’ Wealth Profit Climbs Despite Continued Broker Attrition

    Jan 15, 2021
  • Rockefeller, RBC Lure Merrill, UBS Teams in Midwest

    Rockefeller, RBC Lure Merrill, UBS Teams in Midwest

    Jan 14, 2021
  • Fired Merrill Broker in Beverly Hills Barred by Finra

    Fired Merrill Broker in Beverly Hills Barred by Finra

    Jan 14, 2021

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Powering Independence Podcast, insights and ideas for RIAs, presented by Dynasty Financial Partners. A podcast dedicated to presenting fresh ideas and best practices for the wealth management industry.
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Our goal is to unlock the challenges to reveal the opportunities and what it means to provide advice in the 21st century.
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A financial literacy and commentary show that features a number of investors, financial experts, professional athletes, business owners and more.
Join Sound Financial Group CEO Paul Adams and President Cory Shepherd every week, as they help you Design and Build a Good Life™.
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Made for and dedicated to those folks serious about their financial plan.
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