Roth Tells Cetera Reps He’ll Bring ‘Clarity’ on Leadership Soon
The executive sent a memo to the IBD's 9,000 reps on Monday amid intense industry chatter.
Growth in AUM, Revenue Halved for RIAs in 2015: FA Insight
Firms that are merely riding the market tide are being left behind their peers, FA Insight finds.
RBC Nabs Billion-Dollar Morgan Stanley Group in Texas
The news comes one week after RBC recruited an advisor in Houston from Wells Fargo.
SEC Overstepped Authority in Retroactive Civil Fine Hike: Lawyers
SEC overstepped its authority by embracing a retroactive civil monetary penalty fee hike that could spark lawsuits, securities attorneys warn.
SEC Doles Out $22M Whistleblower Award
The SEC has awarded more than $22 million to a whistleblower whose detailed tip and extensive assistance helped the agency halt a well-hidden fraud.
Who’s in Charge at Cetera?
Rumors are rife that CEO Larry Roth may be replaced by Chairman Robert Moore.
Advisor Put Transit Workers on Risky Investment Path, FINRA Says
Retired bus workers lost some $140,000 due to "unsuitable" investments in energy firms and gold, says a FINRA complaint.
When Clients’ Mental Capacity Diminishes: An Advisor’s Role
Here are the signs of dementia and other forms of cognitive decline, and how advisors can help the client and her family while protecting themselves.
Will Smith’s 8 Life Lessons for Advisors
The movie star told LPL Financial reps how he became and remains a global superstar.
SEC Increases Amount of Data Advisors Must Include on Form ADV
SEC adopted final amendments Thursday requiring advisors to disclose more information on Forms ADV about their use of SMAs, branch office operations and social media.