- ●
SEC slaps former adviser with $4.24 million penalty
Paul Horton Smith Sr., who's awaiting trial, targeted California seniors in Ponzi scheme The post SEC slaps former adviser with $4.24 million... Read more » - ●
Wells Fargo Reverses Plan to Eliminate 401(k) Match
Backlash over elimination of the benefit for people earning $250,000 and up led top executives to reverse the cost-savings decision. Read More The... Read more » - ●Wells Fargo Advisors head Jim Hays to add private bankers to his realm in an efficiency push that creates “one overarching management... Read more »
- ●Wells Fargo & Co. is exploring the sale of its asset-management unit, a business that could fetch more than $3 billion, according... Read more »
- ●Prominent digital providers have added zero-commission brokerage features in recent months — and billions in new assets The post Are free trades... Read more »
- ●Stories of interest from around the web Read More The post Morning Brief: Goldman Taking Millions from Execs after Fraud Settlement appeared first... Read more »
- Nineteen-year Merrill lifer prevails over 13 others in competition to manage 4,400-employee, $2.7 billion wealth management region, company said. Read More The post... Read more »
- Clients are willing to pay top dollar for advice, but are asking for additional offerings and services The post How advisers are... Read more »
- A weekly measure of U.S. consumer confidence fell to a seven-week low on significant declines in attitudes toward the economy and buying... Read more »
- Brokers servicing pension plan sponsors ask them to grandfather Eaton Vance holdings from affiliate-sale bans. Read More The post Morgan Stanley Smoothing Restrictions... Read more »
- Stories of interest from around the web Read More The post Morning Brief: Market Stumbles Amid Stalled Virus Relief Plan appeared first on... Read more »
- In latest effort to restore capital strength and shave $10 billion of annual expenses, Wells Fargo will eliminate 401(k) match for employees... Read more »
- Experts weigh in on how and when it makes sense to go the RIA route The post Finding the clearest breakaway path... Read more »
- Gwen Campbell, a $4-million-plus producer at Merrill Private Wealth, joined J.P. Morgan Securities with her three associates on Wednesday. Read More The post... Read more »
- The Toronto-based robo-adviser manages approximately $6.4 billion in assets and has more than 1.5 million users The post Wealthsimple’s $87 million round... Read more »
- Allworth Financial entered growth mode under its previous private equity owners, landing 10 acquisitions in just three years The post Canadian teachers... Read more »
- MRK Wealth Advisors is based in Doylestown, Pennsylvania The post Father-son planning duo launch firm aimed at pharma execs appeared first on... Read more »
5 Big Overlooked Fiduciary Errors 401k Plan Sponsors Are Making Right Now
Sometimes when you try your best, you still miss something important. And that could be the most dangerous miss you make. The... Read more »- 'I think it’s going pretty well,' he said about the first four months since implementation The post Reg BI promotes same standard... Read more »
- Which movie are you watching, Fiduciary Dark Side, and an alternative twist. The post FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week... Read more »
NEWS
- ●
Weekend Reading for Financial Planners (October 24-25)Enjoy the current installment of “Weekend Reading For Financial Planners” – this week’s edition kicks off with a new consumer research survey... Read more »
- ●
SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions
The Securities and Exchange Commission today charged Israeli company Tradenet Capital Markets Ltd. for offering and selling security-based swaps to over 5,000... Read more »
The Securities and Exchange Commission today announced an award of over $114 million to a whistleblower whose information and assistance led to... Read more »
The Securities and Exchange Commission and the Commodity Futures Trading Commission, at their first joint open meeting to vote on rulemaking initiatives,... Read more »
The Securities and Exchange Commission today announced charges against The Goldman Sachs Group Inc. for violations of the Foreign Corrupt Practices Act... Read more »
The Securities and Exchange Commission today announced it will host a virtual forum next week featuring women entrepreneurs and investors of color from Los Angeles and Atlanta discussing their... Read more »
- Kitces & Carl Ep 45: (Re-)Structuring Client Review Meetings In Order To Focus On What Really Matters To Clients
In the early days of financial advice, an advisor’s primary (and key) value proposition was giving clients access to capital markets via... Read more »
The Securities and Exchange Commission announced today that a federal district court has entered a final judgment on consent against Kik Interactive... Read more »
- How ‘Free’ RIA Custodians Make It Difficult To Determine Which Is Actually The Most Expensive
In the early days of the Registered Investment Adviser (RIA), financial advisors who didn’t affiliate with a broker-dealer had no way to... Read more »
You Can’t Win a Tournament in Round 1, But You Sure Can Lose It
Haters who know I bleed “Carolina Blue” will accuse me of taking a cheap shot with the story I’m about to retell.... Read more »
- #FASuccess Ep 199: The Barbell Approach To Building A High-Income And Broad-Reach Lifestyle Practice, With Morgen Rochard
![]()
Welcome back to the 199th episode of Financial Advisor Success Podcast! My guest on today’s podcast is Morgen Rochard. Morgen is the... Read more » Name your photos effectively for publication
Sending your photo for publication? Make sure you name your file appropriately to increase the likelihood that your photo and your name... Read more »- What Clients (Actually) Value Most In A Financial Advisor
For many financial advisors, ‘proving’ their worth to prospects prior to engaging them as clients (by delving deep into the details of... Read more »
- Weekend Reading for Financial Planners (October 17-18)
Enjoy the current installment of “Weekend Reading For Financial Planners” – this week’s edition kicks off with a new survey finding that,... Read more »
The Securities and Exchange Commission today announced that it adopted final amendments to certain auditor independence requirements in Rule 2-01 of Regulation... Read more »
