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UBS Nabs Chicago Bank Broker with About $1 Mln of Revenue
Interactive Brokers to Pay $38 Million for Money-Laundering Breaches
Robinhood Blows Past Rivals in Record Year for Retail Investing
Jones Loses $1.3 Mln Producer to Wells Indie Firm, Merrill Brokers Join RBC
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Advisor Moves
UBS Nabs Chicago Bank Broker with About $1 Mln of Revenue
Jones Loses $1.3 Mln Producer to Wells Indie Firm, Merrill Brokers Join RBC
UBS Hires Million-Dollar Bank Producer, Names New Florida Manager
Wirehouse Wars: $4 Million of Production Changes Hands
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Enforcement
Finra Fines Kestra Over Recruiting Practice Jeopardizing Customer Privacy
Finra Sanctions Ex-Oppenheimer Broker over UIT Trades
Finra Suspends 25-Year Broker Who Took Shortcuts with Account Documents
Oppenheimer to Pay $4.7 Mln for UIT Rollover Violations
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Opinion
Opinion: Coronavirus – What Advisors Need to Know
Opinion: Investors Conquered Fees but Not Their Own Behavior
Investor Confidence in Stocks Rightly Declines: Opinion
Opinion: Schwab’s Zero Commission Decision Challenges Its RIA Clients
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Fintech News
Goldman Says Pandemic Is Giving a Boost to Digital Banking
Robinhood Is Democratizing Markets, Not Disrupting Them: Nir Kaissar
Banks Say They’re Gaining Against Fintechs During Pandemic
Bank of America’s AI Robot Learns 60,000 Ways to Talk About the Coronavirus
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From the Publisher
Timely interview with John Peluso and AdvisorHub CEO Tony Sirianni
Coronacrash Update: Hayden Royal’s Louis Dworsky & Tony Sirianni
Coronacrash Update: Stratos Wealth Partners’ Jeff Concepcion & Tony Sirianni
Coronacrash Update: BNY Mellon | Pershing’s Ben Harrison & Tony Sirianni
Coronacrash Update: Fieldpoint Private’s Christopher DeLaura & Robert McCabe with Tony Sirianni
Coronacrash Update: D.A. Davidson’s Michael Purpura & Tony Sirianni
Coronacrash Advisor Insights: B. Riley Wealth Management’s Walker Hays & Tony Sirianni
Coronacrash Advisor Insights: 3xEquity’s Jeff Crosby & Tony Sirianni
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