Skip to Main Content
SUBMIT A TIP RECEIVE DAILY NEWS
Menu AdvisorHub
  • News
      • Latest News
          • Businessman in prisonJudge Denies Ex-Morgan Stanley Boston Broker’s Bid for Early Prison Release
          • UBS BankUBS Begins Appeal of $5 Billion Penalty in French Tax Case
          • Morgan Stanley’s Tucson, Arizona branch, via Google Maps.Morgan Stanley Bags $3.5 Million Wells Int’l Team in Arizona
          • Reading top financial advisor newsThis Week’s Top 5: Wells Consolidates Regions, a $6-Mln Merrill Breakaway, And More
        • Close
      • Advisor Moves
          • Morgan Stanley’s Tucson, Arizona branch, via Google Maps.Morgan Stanley Bags $3.5 Million Wells Int’l Team in Arizona
          • Advisor and lassoRockefeller Lassoes Merrill Texas Team with Nearly $5-Mln Revenue
          • Adrianne Hoy, Edward Dawson, Kyle Dawson, Patty Bribiesca and Katherine Tawoda left Wells Fargo for UBS in San Diego last month.Goin’ Up? Wells Fargo Team Moves Seven Floors to UBS in San Diego
          • Financial AdvisorFired by Wirehouse for Unapproved Outside Business, Texas Broker Relocates to Stifel
        • Close
      • Enforcement
          • Dining expenseFinra Dings Ex-Morgan Stanley Broker in Los Angeles over Expense Lapse
          • Judge rulesFinra Bars Ex-Wells Broker Who Raised $3.5-Mln For Software Company
          • Advisor fraudFinra Suspends Former NJ Broker Who Borrowed from Clients to Pay Debts
          • Finra rulingArbitrator Grants Ex-Merrill Bank Broker’s Expungement, Calls Firing ‘Reckless’
        • Close
      • Markets
        • `Nothing Safer Than Cash’: Tech Rout Puts Silicon Valley on Edge
        • ‘Any News Is Bad News’ as Earnings Fail to Save Equity Bulls
        • ‘50 Cent’ Profited From Volatility Jump, Wells Fargo Says
        • ‘Beaten Down’ ETF Is a Way to Play Inverted Curve, BofA Says
        • Close
      • Opinion
          • Opinion-How-Will-The-Coronavirus-Affect-The-Stock-Market-Opinion: Coronavirus – What Advisors Need to Know
          • opinion-investors-conquered-fees-next-up-is-their-own-behaviorOpinion: Investors Conquered Fees but Not Their Own Behavior
          • Investor-Confidence-In-Stocks-Rightly-Declines-Opinion-772x485Investor Confidence in Stocks Rightly Declines: Opinion
          • Opinion-Schwabs-Zero-Commission-Decision-Challenges-Its-Ria-ClientsOpinion: Schwab’s Zero Commission Decision Challenges Its RIA Clients
        • Close
      • Fintech News
          • Fintech Cryptocurrency ClearingFintech Firm Apex Clearing Agrees to Go Public Via SPAC
          • System outageMerrill Systems Hiccuped on Thursday as Stocks Slid
          • 7 dollar rolls‘The Rock’ Invests in Finance App Acorns, and New Users Get $7
          • TraderHigh-Frequency Traders Love Business With Robinhood
        • Close
      • From the Publisher
          • 2021 PredictionsFrom the Publisher: Sirianni’s Predictions for 2021
          • Josh Rogers – 772×485Seven Questions with Tony Sirianni: Josh Rogers, Founder and CEO, Arete Wealth
          • Phil Hildebrandt — 772×485Seven Questions with Tony Sirianni: Phil Hildebrandt, Principal, CEO of Segall Bryant & Hamill
          • Christian Hyldahl, President of Varium Investment Partners-772×485An AdvisorHub Interview with Christian Hyldahl, President of Varium Investment Partners
          • John Peluso – 772×485Timely interview with John Peluso and AdvisorHub CEO Tony Sirianni
          • Louis Dworsky Coronacrash Interview-772×485Coronacrash Update: Hayden Royal’s Louis Dworsky & Tony Sirianni
          • Stratos_Jeff pic.jpg-772×485Coronacrash Update: Stratos Wealth Partners’ Jeff Concepcion & Tony Sirianni
          • coronacrash ben harrison – 772×485Coronacrash Update: BNY Mellon | Pershing’s Ben Harrison & Tony Sirianni
        • Close
    • Close
  • Deals & Comp
  • Recruiting Wire
  • Breakaway Center
  • Resources
    • resources-home-menuResources Home
    • PRACTICE MANAGEMENT RESOURCESPractice Management Resources
    • Transition ResourcesTransition Resources
    • Fintech ResourcesFintech Resources
    • menu fintechFintech Product Directory
    • Menu-Institute-772×485Institute
    • Boutique Wealth AdvisorsBoutique
    • EventsEvents
    • Asset Manager Hub
    • Close
  • AdvisorHub TV
  • Podcasts
  • RIA Center
  • Virtual Summit
close X

Fiduciary

The latest headlines in wealth management.

Bonuses for Growing Assets ‘OK’ Under Reg BI–SEC’s Clayton
12/11/18 | News

Bonuses for Growing Assets ‘OK’ Under Reg BI–SEC’s Clayton

Industry Leader Swings Against State Fiduciary Proposals

Industry Leader Swings Against State Fiduciary Proposals

12/6/18 | News

New Jersey, Nevada and other states trying to raise customer-care standards for brokers should back off in favor of the SEC’s soon-to-be proposed rule package, said Sifma head Ken Bentsen.

Read More

Fiduciary, SEC
Merrill to Restore Commission-Based Retirement Accounts
Merrill

Merrill to Restore Commission-Based Retirement Accounts

8/30/18 | News | 11 Comments

Tells brokers it underestimated how upset many customers were over losing an IRA account choice available at most competitors.

Read More

Fiduciary
Analysis: Fee-Based Flows Slump in Second Quarter
LPL, Merrill, Morgan Stanley

Analysis: Fee-Based Flows Slump in Second Quarter

7/27/18 | News

Several big brokerage firms reported double-digit declines in net new advisory assets as recruiting slows and the Labor Department’s fiduciary rule was formally vacated.

Read More

DOL, Earnings, Fiduciary
Opinion: Report Card on an Industry in Transition

Opinion: Report Card on an Industry in Transition

7/26/18 | Opinion | 5 Comments

AdvisorHub CEO grades the various business models.

Read More

Fiduciary, Prexit, Recruiting
It's Official: U.S. Rule to Protect Retirement Savers Is Dead

It’s Official: U.S. Rule to Protect Retirement Savers Is Dead

6/15/18 | News | 1 Comment

The “fiduciary rule” is officially dead.

Read More

Fiduciary
Merrill Weighs Fewer Retirement Account Restrictions
Bank of America, Merrill

Merrill Weighs Fewer Retirement Account Restrictions

6/15/18 | News | 8 Comments

Wealth head Andy Sieg told brokers firm will decide in about 60 days how to simplify its rigid DOL Rule restrictions and perhaps allow commissions for some asset classes.

Read More

DOL, Fiduciary
JPMorgan to Remove Some Fiduciary Rule Handcuffs, Others May Follow
JP Morgan

JPMorgan to Remove Some Fiduciary Rule Handcuffs, Others May Follow

5/4/18 | News | 1 Comment

The corpse of the DOL rule hasn’t been buried, but firms are revising retirement account products and policies in preparation for the expected repeal.

Read More

Fiduciary
Farewell Fiduciary Rule? Morgan Stanley Sweetens Recruiting Bonuses
Morgan Stanley

Farewell Fiduciary Rule? Morgan Stanley Sweetens Recruiting Bonuses

5/1/18 | News | 4 Comments

Newly hired brokers can get payout credit for retirement account assets, reversing policies that were imposed in 2016 to comply with the Labor Department’s conflict-of-interest rule.

Read More

DOL, Fiduciary
SEC Proposes ‘Best Interest’ Standard for Brokers and Their Customers

SEC Proposes ‘Best Interest’ Standard for Brokers and Their Customers

4/18/18 | News | 2 Comments

Controversial rules would require enhanced disclosures about conflicts but critics say they largely preserve the status quo.

Read More

Fiduciary, SEC
DOL Fiduciary Rule Appears Headed for the Supreme Court

DOL Fiduciary Rule Appears Headed for the Supreme Court

3/16/18 | News

Stage is set for a determination on the controversial rule at highest level following a split decision Thursday in a Texas appeal court that vacates the Labor Department rule.

Read More

DOL, Fiduciary
Massachusetts Charges Scottrade over Retirement Account Sales Contests
TD Ameritrade

Massachusetts Charges Scottrade over Retirement Account Sales Contests

2/15/18 | News | 1 Comment

State official says firm now owned by TD Ameritrade violated the DOL’s fiduciary rule by “conducting sophomoric contests.”

Read More

Fiduciary
Older

Tony Sirianni Podcast Banner

CORONACRASH NEWS

  • Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Feb 26, 2021
  • Raymond James Executive: We’re Open to Flexible Work Arrangements for Advisors

    Raymond James Executive: We’re Open to Flexible Work Arrangements for Advisors

    Feb 25, 2021
  • Finra Bars Ex-Wells Broker Accused of Improperly Seeking Virus Relief Loan

    Finra Bars Ex-Wells Broker Accused of Improperly Seeking Virus Relief Loan

    Feb 12, 2021
  • RayJay Private Client Profit Dips 8%, Employee Channel Recruiting Slips

    RayJay Private Client Profit Dips 8%, Employee Channel Recruiting Slips

    Jan 28, 2021
  • Finra Scrutinizes Brokers Who Took PPP Loans for Potential Violations

    Finra Scrutinizes Brokers Who Took PPP Loans for Potential Violations

    Jan 25, 2021

NEWS

  • Judge Denies Ex-Morgan Stanley Boston Broker’s Bid for Early Prison Release

    Judge Denies Ex-Morgan Stanley Boston Broker’s Bid for Early Prison Release

    Mar 8, 2021
  • UBS Begins Appeal of $5 Billion Penalty in French Tax Case

    UBS Begins Appeal of $5 Billion Penalty in French Tax Case

    Mar 8, 2021
  • Morgan Stanley Bags $3.5 Million Wells Int’l Team in Arizona

    Morgan Stanley Bags $3.5 Million Wells Int’l Team in Arizona

    Mar 8, 2021
  • This Week’s Top 5: Wells Consolidates Regions, a $6-Mln Merrill Breakaway, And More

    This Week’s Top 5: Wells Consolidates Regions, a $6-Mln Merrill Breakaway, And More

    Mar 6, 2021
  • This Week in RIA M&A: Focus Adds Partner Firm as Other PE-Backed Buyers Strike

    This Week in RIA M&A: Focus Adds Partner Firm as Other PE-Backed Buyers Strike

    Mar 5, 2021

Recruiting Winners: 2020 Year in Review

FINANCIAL INDUSTRY PODCASTS

AllIndependence
The must listen-to podcast for financial advisors by Tony Sirianni. Guests to include:
-Ron Kruszewski
-Shirl Penney
-Penny Pennington
-Eric Clarke
and many more
Michael Kitces and Carl Richards discuss financial advising topics.
The “new advice value stack,” and how firms can use it to help maximize their own value propositions for their clients.
Interviews and insights for advisors curious about switching to a new broker dealer.
The Brighthouse Financial Insights Panel is a group of leading, independent experts providing powerful insights into the big challenges facing you and your clients.
Powering Independence Podcast, insights and ideas for RIAs, presented by Dynasty Financial Partners. A podcast dedicated to presenting fresh ideas and best practices for the wealth management industry.
As an industry expert, Frank LaRosa provides guidance and advice on a host of topics from recruiting and transitions, succession planning, practice management, M&A and more.
Our goal is to unlock the challenges to reveal the opportunities and what it means to provide advice in the 21st century.
Go behind the scenes with registered investment advisors and other related independent business model experts
As a nationally recognized recruiter and consultant to financial advisors, Mindy Diamond has unmatched experience in introducing advisors to the independent space.
The must listen-to podcast for investors, venture capitalists and financial advisors, with Tony Sirianni and Paul Dietrich.
An Introduction to Independence: 5 Key Episodes to Jumpstart Your Knowledgebase
Jay is an investment strategist, CERTIFIED FINANCIAL PLANNER™ and business consultant to financial advisors.
We interview top financial advisors and visionary voices to bring you the strategies, tips, and tools you need to make a difference in people’s lives.
A financial literacy and commentary show that features a number of investors, financial experts, professional athletes, business owners and more.
Join Sound Financial Group CEO Paul Adams and President Cory Shepherd every week, as they help you Design and Build a Good Life™.
The Kuderna Podcast, focusing on wealth in it's original meaning- a state of well being.
Timeless wisdom, actionable information you can use right now to make smarter investment decisions.
Made for and dedicated to those folks serious about their financial plan.
Suzanne Siracuse asks the questions nobody else asks, as influencers and interviewer collide in her new and truly unique podcast series The Big Reveal.
Our webcast is dedicated to helping our viewers get real insights by avoiding the cognitive dissonance of today’s media outlets and biased editorial filters.

Latest News 
Advisor Moves 
Enforcement 
Opinion 
  • About Us
  • Contact Us
  • Advertise
  • Events
  • Careers

 get our newsletter

Industry focused content and breaking news.

SIGN UP

Contact Us

EMAIL US
1707 Post Oak Blvd.
#484
Houston, TX 77056

© 2021 AdvisorHub
  • |Terms of Use
  • |Privacy Policy
  • |Advertise
  • |Careers
  • Facebook
  • Linkedin
  • Twitter

Back to top