D.A. Davidson Nabs $2.6-Mln Truist Team in Virginia
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 »
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Despite the headcount declines, the company said its focus on higher producing brokers helped to boost revenue. Read More The post Wells Fargo... Read more »Adviser managing $500 million at Wells Fargo joins RIA
Lisa Quadrini moves to Brandywine Oak Private Wealth in suburban Philadelphia. The post Adviser managing $500 million at Wells Fargo joins RIA... Read more »- Bernard Madoff, the Manhattan investment adviser who promised stellar returns to his A-list clients and instead defrauded them of more than $19... Read more »
- Top stories from around the web. Read More The post Morning Brief: Consumer Prices Rise Most Since 2012 appeared first on AdvisorHub.... Read more »
- A former JPMorgan Chase & Co. financial adviser accused of trading his wealthy grandmother’s assets without her knowledge has been barred from... Read more »
- Less than two months after launching, the first North American Bitcoin ETF already reached $1 billion (C$1.25 billion) in assets, according to... Read more »
- Kelyn Spadoni, 33, of Harvey, Louisiana, allegedly refused to return the money, which Schwab said was wrongfully sent after a “software enhancement”... Read more »
- Shone Wealth Management, based in Walnut Creek, California, serves about 300 client households. The post Allworth Financial acquires $340 million RIA appeared... Read more »
- Thomas, a former NFL player who had overseen a Merrill complex in Florida for the past two years, is returning to California... Read more »
- Top stories from around the web. Read More The post Morning Brief: Stocks Tick Lower as Investors Await Earnings, Inflation Report appeared first... Read more »
Gamification Tips for 401k Education
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Before you scorn the use of badges, remember, the company match is the ultimate badge. If you meet a minimum savings goal,... Read more »- Surveys of investors and financial advisers show a disconnect between what investors want with regard to environmental, social and governance strategies, and... Read more »
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401k Bubble? 60's redux? and Bonds blowing up? The post FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 4/9/21 appeared first... Read more »- The record deal volume in the first quarter is being attributed to multiple factors, not the least of which is President Joe... Read more »
- Jeter, whose teams won five World Series, retired from baseball after the 2014 season and is currently the CEO of the Miami... Read more »
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Learning to budget isn’t a single lesson. It’s a series of lessons that get more advanced as the student progresses. The post... Read more »![]()
Retirement, taxes, and investment mixed signals. The post FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 4/2/21 appeared first on FiduciaryNews.... Read more »- The deal will add more than $1 billion to Beacon Pointe's assets under management. The post Beacon Pointe acquires Texas-based Wealthstreet appeared... Read more »
NEWS
SEC Charges Felon and Six Others in Oil-and-Gas Offering Fraud
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 »
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In the aftermath of the run-up in the price of Gamestop (GME) Robinhood removed GME from its trading platform. Yes, Robinhood simply... Read more »https://www.sec.gov/fast-answers/answersrestrichtm.html --- Mark J. Astarita, Esq. Sallah Astarita & Cox, LLC 60 Pompton Avenue Verona, New Jersey 07044 Phone: (973) 559-5566 Direct: (973) 559-5795... Read more »
CNN is reporting that the CEO of Robinhood is not licensed with FINRA, implies that he is required to be licensed, and... Read more »
- #FASuccess Ep 224: Crafting A 5-Step Process To Add Value As A “Thinking Partner” for Clients, with Amy Mullen
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Welcome back to the 224th episode of the Financial Advisor Success Podcast! My guest on today’s podcast is Amy Mullen. Amy is... Read more » Writing tip: Kill the ST words!
Looking for an easy tweak to simplify your firm's writing? If your audience is American, stop using three prepositions: "amidst," "amongst," and... Read more »- Alternative Custodian Options For Independent RIAs In The Wake Of Schwabitrade
For most independent RIAs who want to manage client portfolios (and be compensated for doing so), having an independent RIA custodian to... Read more »
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Exam and Risk Monitoring Program: Responding to COVID-19 and Looking Ahead http://feeds.finra.org/~r/FINRACompliancePodcast/~3/esoaDA9bqq4/exam-and-risk-monitoring-program-responding-to-covid-19-and-looking-ahead-XxAdRdGI ##seclaw----- Coast-to-coast representation of investors and financial professionals - Securities... Read more »![]()
SPACS continue to move to the front of the line. With so many deals out there and fewer and fewer attractive acquisitions,... Read more »- Weekend Reading for Financial Planners (Apr 10-11)
Enjoy the current installment of “Weekend Reading For Financial Planners” – this week’s edition kicks off with a look at President Biden’s... Read more »
The Securities and Exchange Commission today announced an award of approximately $2.5 million to a whistleblower whose information and ongoing assistance to... Read more »
S&P 500 Closes At Record High As Investor Optimism Reaches Highest Level Since 2017 Technology stocks like Apple and Twitter led the... Read more »
SEC Accuses Actor Of $690 Million Fraud Based On Fake Netflix Deal: Zachary Horwitz touted fictitious film licensing deals with companies like HBO... Read more »
GameStop Taps Billionaire Investor Ryan Cohen As Board Chair, Sending Shares Surging Anew After a Reddit-fueled rally this year, GameStop shares are... Read more »
