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This Week’s Top Stories: UBS Raises Payout Hurdles and Reorganizes Field, Ameriprise Rescinds Controversial Indie Fee, J.P. Morgan Melds Advisory Businesses, and Other News
Shareholders File to Block Advisor Group’s Ladenburg Takeover
UBS Hit with Biggest Finra Employee Arbitration Penalty of Year
2020 Comp: Wells Adds More Large-Account Incentives for Brokers
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Advisor Moves
$4.5-Mln Merrill Team in Texas Shuffles to Wells Fargo
UBS Hires from Merrill, Morgan Stanley, Loses Ohio Vet to RayJay
Cetera Scores $2.6-Million LPL Team in North Carolina
Wire Wars: Morgan Stanley Adds Another UBS Team
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Enforcement
J.P. Morgan, Schwab Win Orders Handcuffing Breakaway Brokers
Merrill, Raymond James to Pay $12 Million for 529 Plan Sales Violations
J.P. Morgan Seeks TRO Against Florida Broker Who Joined UBS
Massachusetts Fines Morgan Stanley for Broker’s Excessive Trading
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Opinion
Investor Confidence in Stocks Rightly Declines: Opinion
Opinion: Schwab’s Zero Commission Decision Challenges Its RIA Clients
Millennials’ Portfolios Should Start to Leave Home: Nir Kaissar
Barry Ritholtz: SEC’s New ‘Best Interest’ Rule Is Far From Best for Investors
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Fintech News
Need to Move $1.6 Billion? Bank of America Has an App for That
Robinhood Is Back in Washington’s Crosshairs After Leverage Glitch
Robinhood Traders Discovered a Glitch That Gave Them ‘Infinite Leverage’
U.S. Bank to Cut Thousands of Branch Workers in Digital Push
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From the Publisher
Seven Questions with Tony Sirianni: Richard Frick of Gladstone Wealth Group
Seven Questions with Tony Sirianni: BlackRock’s Elizabeth Koehler
Seven Questions with Tony Sirianni: Fidelity’s David Canter
Seven Questions with Tony Sirianni: Cetera Financial Group’s Richard Whitworth
Sirianni: Zero Com just gave RIAs a 21% increase in Comp overnight
Seven Questions with Tony Sirianni: Wedbush’s Chris Mone
Sirianni: You know you’re a European Broker when…
Seven Questions with Tony Sirianni: Craig Pirtle, Managing Director, B. Riley Wealth Management
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RIA Resource Center
Information surrounding options for becoming an independent RIA, key benefits, economic potential and the role of the custodian.
Six Common Myths About the RIA Model
How to grow in a risk-adverse industry
The hybrid path to independence
Considering the RIA Model? Here Are the Top Five Benefits of Independence
Closing the Financial Literacy Gap: Turning Passion into Action
Realizing the Value of Your Life’s Work
Advisor Value Propositions: What Investors Really Think
It’s time to build your dream RIA.
From the Desk of Goldman Sachs Select: Flew the Coop
Exploring Independence: An overview of the Registered Investment Advisor model
4 Things to Consider When Evaluating a PE Investment in Your RIA
So You Want to Break Away from a Non-Protocol Firm
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