CFPB Warns Financial Firms About Incentive Programs That Lead to Fraud
CFPB’s bulletin warns against the kind of incentive programs that led to the abuses at Wells Fargo.
Morgan Stanley Shuns Aging U.S. Bull Market for Japan in 2017
Strategist upgrades Japan stocks and downgrades U.S. equities; one of the year’s worst performers becomes a favorite.
Meir Statman: What ‘Normal People’ Really Want From Advisors
Professor Statman talks about next-gen behavioral finance, how to manage clients’ well-being and why annuities can “emit the smell of death.”
Kansas Judge Upholds DOL Fiduciary Rule
In the rule's second legal victory, a Kansas federal judge rejected insurer Market Synergy's request to block it.
Wells Fargo Pushes to Settle Claims Over Fake Accounts via Arbitration
Customers are suing the bank for millions plus punitive damages.
Trump’s Bank-Reg Rollback Plans May Get Boost From EU
The EU is proposing to soften European bank regulatory rules, which could support Trump's plans to ease bank regulations in the U.S.
Raymond James Adds 3 Texas Reps, Shares October Results
The firm attracts the independent advisors from rival LPL Financial in different parts of the Lone Star State.
How Advisors Can Best Use Tech for Firm Growth, Profitability
ThinkAdvisor webinar, sponsored by Pershing, showcases the ways technology is helpful in achieving scale and efficiency.
LPL Continues Strong Recruiting Drive in Q3
A large number of advisors moved to the IBD from Cetera, Wells Fargo and Edward Jones.
6 Keys to Investment Success: T. Rowe’s Brian Rogers Reflects
As Rogers prepares to retire in March, he shares the investment lessons he’s learned during 35 years at T. Rowe Price.