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Barry Ritholtz: SEC’s New ‘Best Interest’ Rule Is Far From Best for Investors
This Week’s Top Stories: Morgan Stanley Dismisses L.A. Broker, Credit Suisse Doubles Down, and More
Investors Win $3 Million from Indie Firm where Ponzi Schemer Once Worked
At Wells Fargo, a Chance Dims to Break U.S. Banks’ Glass Ceiling
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Advisor Moves
Wells Nets Merrill, Morgan Stanley Brokers Nationwide
Merrill Team Generating $5.2 Million Goes Indie in Indianapolis
UBS Manager Bolts Pasadena Branch He Led for Two Decades
Merrill Shifts Ex-NFL Player Willie Thomas to New Position
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Enforcement
Investors Win $3 Million from Indie Firm where Ponzi Schemer Once Worked
Jones Low-Balled Customer Damage Claims, Citi Overcharged for UITs—Finra
Fired UBS Broker Celebrates Expungement of Termination Notice
Wedbush to Pay $8.1 Million over Handling of ADRs
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Opinion
Barry Ritholtz: SEC’s New ‘Best Interest’ Rule Is Far From Best for Investors
‘Dumb Money’ in ETFs Isn’t So Dumb After All: Eric Balchunas
Opinion: Trump Seeks Tighter Rein on Agencies Like the SEC
Selfie Deaths Are Like Stock-Market Crashes: Barry Ritholtz
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Fintech News
Banks Spend $1 Trillion on Digital, But Few Reap the Rewards
Facebook Wants Its Cryptocurrency to One Day Rival the Greenback
Bitcoin Climbs to One-Year High on Facebook Crypto Pact Report
Goldman Offers Incentives to Keep Marcus Clients Away From Court
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From the Publisher
Five Questions With Tony Sirianni: Dynasty Financial Partners’ President & CEO, Shirl Penney
Seven Questions With Tony Sirianni: Steward Partners’ CEO, Jim Gold
Sirianni: Hypocrisy, our “Fake News” moment
Seven Questions With Tony Sirianni: Securities America
Sirianni: A Little Advice
Seven Questions With Tony Sirianni: Laidlaw Asset Management LLC’s Ken Mathieson
Sirianni: What Are Boutique Money Managers and Why Should We Care About Them?
Seven Questions with Tony Sirianni: D.A. Davidson’s Michael Purpura
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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.
Advisor Sales through Behavioral Finance
Relative Weight ETF Spotlight: Back to the USA
An Open Letter to Advisors from the Prospect’s Perspective
Broker Protocol – What You Can Bring and How to Format it for Success
Increasing Financial Literacy: Tips to Educate and Engage Clients
The Great Transfer of Wealth: How To Build Client Relationships Across Generations
The Shoemaker’s Children Have No Shoes AND No Inheritance
Going Independent as a Hybrid RIA
In The Still of The Night – The Stealth Launch of Wells’ First RIA
Chequers Financial Management & Schwab Advisor Services
Sirianni Op-Ed: Predictions 2019
Charting your own course
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