Advisor Group Names Steve Chipman Head of Strategic Acquisitions
Chipman will lead Advisor Group’s efforts to attract broker-dealers.
FINRA Names Gregory Dean as Senior VP of Government Affairs
Dean has worked in both houses of Congress, the federal government and the private sector.
Sen. Warren Questions Firms on Their DOL Fiduciary Prep Ahead of Possible Delay
Meanwhile, a Consumer Federation of America report scrutinizes how brokerages and insurers market their salespeople as "advisors" while fighting the rule.
Institutional Investors’ Brexit Outlook Not So Gloomy: State Street
Investors expect Brexit to have some effect on their business operating model.
FINRA Alerts Investors to Aggressive Call Center Tactics
As clients with smaller accounts are pushed out of advisor relationships, they may be sent to heavily sales-oriented call centers, FINRA says.
Ron Carson Completes Move From LPL to Cetera
The wealth management group has over $6.5 billion in assets on its RIA platform and other operations.
IRS Probe of Bitcoin Accounts Sparks Legal Showdown
San Francisco digital currency company Coinbase Inc. is challenging an IRS request for information about customers.
SEC Chair White Says Goodbye ... for Now
As she leaves office, Mary Jo White tells ThinkAdvisor what her SEC has accomplished and why her successor should keep the “broken windows” approach.
HighTower Adds $1B Team in Florida: Recruiting Roundup
The group is moving from Wells Fargo Private Bank; meanwhile Focus Financial says a partner firm has wrapped up a deal.
Free College Tuition Plans Sprout in States as Feds Could Cut Aid
Get ready for potential changes in the college funding arena at the federal and state level, some good and some bad for borrowers.