RIA Industry News from around the Nation
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RIA Industry News from around the Nation
What's Happening Today
Updated Hourly
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Rockefeller Lures $2.2-Million Merrill Team in Michigan
The four-person Low Group in the Detroit suburb of Bloomfield Hills, Mich., left Merrill on Friday Read More The post Rockefeller Lures $2.2-Million... Read more » - ●Morgan Stanley surprised investors with a $911 million loss tied to the collapse of Archegos Capital Management, staining what was otherwise a... Read more »
- ●Top stories from around the web. Read More The post Morning Brief: Robinhood Sues after Massachusetts Revokes B-D License appeared first on AdvisorHub.... Read more »
Why virtual internships are here to stay
After adapting on the fly last year, financial advisers are embracing virtual internships as a more efficient way to train and recruit... Read more »- Manhattan-based brokers Matthew Hoffman and Scott Rappaport, who managed a $1.4 billion book at J.P. Morgan, moved a block north on Park... Read more »
- California broker John Draper and his son Derek transferred and hid family assets after Wells failed to freeze accounts, according to the... Read more »
- Signs of a thaw in the firm’s three-year recruiting freeze come in wake of 3% decrease in total advisor ranks for parent... Read more »
- Top stories from around the web. Read More The post Morning Brief: Gensler’s Confirmation Ushers in New Regulatory Era appeared first on AdvisorHub.... Read more »
- The three-advisor, legacy BB&T Securities team had managed $400 million in client assets at Truist in Virginia’s Shenandoah Valley. Read More The post... Read more »
- Sieg, who had been running practice management for almost a year and is brother of Merrill wealth head Andy Sieg, takes the... Read more »
NEWS
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SEC Fast Answer - Removing Restrictive Legends
"Restricted" securities are securities acquired in an unregistered, private sale from the issuing company or from an affiliate of the issuer. They typically bear... Read more »
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Gary Gensler Confirmed As New SEC Chair As Agency Tackles GameStop Saga, ESG Boom And Cryptocurrency Gary Gensler, the was just approved... Read more »![]()
The SEC has awarded over $50 million to joint whistleblowers whose information alerted SEC staff to violations that involved highly complex transactions... Read more »The Securities and Exchange Commission today charged seven individuals, including criminal recidivist Richard Dale Sterritt, Jr., with defrauding investors through a multimillion dollar... Read more »
The Overlooked ROI Of Return Of Premium Term InsurancePhilosophically, financial advisors can have quite polarized viewpoints when it comes to the relative importance of protection and accumulation benefits of life... Read more »
BLOGS
What's Happening Today
Updated Hourly RIA News
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CMS Nominee Likes New Medicare Advantage Telehealth Flexibility
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Chiquita Brooks-LaSure said her own psychologist brother is using telehealth to see more patients. Related StoriesU.S. Individual Life Applications Climb 18.5% - EnclosureOrion... Read more » - ●
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The company is assuming that use of non-COVID-19 care will rise later in the year, as the pandemic eases. Related StoriesU.S. Individual Life... Read more » - ●
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Life Happens and LIMRA found that ownership of individual life might be holding up better than group life protection. Related StoriesU.S. Individual Life... Read more » - ●The four-person Low Group in the Detroit suburb of Bloomfield Hills, Mich., left Merrill on Friday Read More The post Rockefeller Lures $2.2-Million... Read more »
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Application volume for consumers ages 51 through 70 was especially strong. Related StoriesOrion Closes HiddenLevers Deal: Tech Roundup - EnclosureSALT-Cap Repeal Gains Momentum... Read more » - ●
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The Archegos disclosure leaves Morgan Stanley as the only major U.S. bank to be nursing losses from the flameout of Bill Hwang's... Read more » - ●
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Also, Envestnet appointed Chris Shutler as head of market intelligence. Related StoriesSALT-Cap Repeal Gains Momentum - EnclosureBill to Boost RMD Age to 75... Read more » - ●Morgan Stanley surprised investors with a $911 million loss tied to the collapse of Archegos Capital Management, staining what was otherwise a... Read more »
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Eric Clarke moves lightning fast to close HiddenLevers deal -- saying its hidden virtues in taming the 'investor problem' make it an ASAP matter
The Orion CEO made the deal in early March and closed today, then laid out a precise 12-month roadmap of integration to... Read more » - ●Top stories from around the web. Read More The post Morning Brief: Robinhood Sues after Massachusetts Revokes B-D License appeared first on AdvisorHub.... Read more »
NEWS
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