Clara Shih: How to ‘Work Smarter’ on Social Media
“You can’t just post and post” on social media, Clara Shih says; going a little deeper can help “ensure that robo-advisors don’t take over.”
Triad Adds OSJ With 11 Reps, $5B in Assets: Recruiting Roundup
Meanwhile, Cambridge promotes executive; Echelon Partners taps ex-LPL M&A specialist, others for new roles.
Dalbar’s 12 Factors to Measure When Picking Active or Passive Funds
Dalbar crunches the numbers, weighs pros and cons of the fund types over time.
BD Must Repay Tribe $3.4M, Pay $750K FINRA Fine
An advisor that sold $190 million in nontraded REITs and BDCs has yet to resolve charges with the regulator.
$700M Morgan Stanley Team Moves to Raymond James Indie Group
Steward Partners opens a new office in Florida with six breakaway brokers that have nearly $6 million in annual fees and commissions.
FINRA Panel Says UBS Must Pay $9M to Puerto Rican Muni Investor
The arbitration ruling comes just one month after an $18 million ruling, with more decisions expected.
Is It Time to Toast or Roast Rising Wine Prices?
Wine analysts share their views on what is driving higher prices.
Why Former Reagan Official Stockman Sees a ‘Huge’ Trump Correction
“It’s only a matter of days before this whole thing tips over,” David Stockman said.
Raymond James Names Top Branch, Complex Managers
The two honored professionals were picked from more than 240 candidates in the employee-advisor channel.
California Regulators Check 1% of BDs, Investment Advisor Firms: Report
Less than 270 exams took place in the 2015-16 fiscal year, according to the state's Department of Business Oversight.