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This Week’s Top Stories: Merrill Brokers’ Cold-Calling Blunder, Advisor Group to Buy Ladenburg, and More
UBS Brokers Win $1.6 Mln from Credit Suisse in Deferred Comp Case
Ladenburg Contractually Limits FA Retention Bonuses Ahead of Sale
T. Rowe, Fidelity Score Green Light for ETFs That Hide Holdings
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Advisor Moves
Morgan Stanley Sweeps in UBS Brokers and Manager in Upstate New York
J.P. Morgan Advisors, UBS Broker Migrate to RIAs in California and Texas
Wells Recruits Back Family Team from Merrill Lynch in California and Utah
Morgan Stanley Hires UBS Pair in Texas Generating $3.2 Million
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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: 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
Five Questions With Tony Sirianni: Dynasty Financial Partners’ President & CEO, Shirl Penney
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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.
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
The RIA Roadmap: Your essential guide to making the transition
Bonding Considerations for Advisors
Do RIAs Need Liability Insurance?
Bad Move – Being Part of a Raid
Playing The Long Game – LPL Focuses On Long-Term Relationships With Their Advisors
Spotlight on Registration Requirements and Filings for Investment Advisors and their Employees
Spotlight on State Registration Requirements for “Small” Investment Advisors
TRENDING: The RIA Lift-Out
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