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Finra Suspends Ex-LPL Broker Who Helped Bring Pro Soccer to Kentucky
Independence Day: Six UBS Brokers in Three Regions Join Indie Firms
Edward Jones Applies for Bank Charter, Hires Former UBS Banker
Morgan Stanley Hires $2 Million Merrill Producer in Florida
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Advisor Moves
Morgan Stanley Hires $2 Million Merrill Producer in Florida
Morgan Stanley Shuffles Leadership in Atlanta, Rehires Manager from RBC
Cetera Hires Ex-Stifel Recruiting Head John Pierce
Wells Flaunts Best Recruiting Month (by Revenue) in a Decade
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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
Banks Say They’re Gaining Against Fintechs During Pandemic
Bank of America’s AI Robot Learns 60,000 Ways to Talk About the Coronavirus
Robinhood Fixed Issue That Displayed Incorrect Portfolio Values
Bitcoin’s Bounce Back Over $9,000 Masks a Potential Downtrend
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From the Publisher
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
Coronacrash Advisor Insights: B. Riley Wealth Management’s Jason Beard & Tony Sirianni
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