SEC Slaps E*Trade for Unregistered Transactions, Issues Risk Alert
SEC says that brokerage subsidiaries of E*Trade engaged in unregistered sales of micro-cap stocks; also issues Risk Alert reminding BDs of unregistered transaction duties.
Raymond James Highlights Women’s Achievements, Tech Updates
The firm attracts a record number of attendees, including 29 prospective advisors, to its 20th annual event for female reps.
New Hire Roundup: Vanguard’s McNabb to Serve Additional Term at ICI
Meanwhile, Dynasty Financial Partners announced a new partnering with Nova Wealth Advisors.
ThinkAdvisor’s 2014 Q3 Earnings Calendar for the Finance Sector
A list of Q3 earnings release dates for companies of interest to financial advisors and investors.
Raymond James Reworks Employee Channel Leadership
The shifts are announced ahead of its Women’s Symposium and investment advisor confab.
Best Finance Tweets of the Month: September
On Sept. 1, Scotland was weighing self-rule, Derek Jeter was ruling baseball and Bill Gross was reigning over PIMCO. A different era, it was.
30 Best iPad Apps for Financial Advisors
Here are advisors' favorite apps for networking, productivity, travel and more, according to ClientWise and its readers.
IRI Elects LPL’s Moore Board Chairman
New IRI Board members include Larry Roth of Cetera, Erica McGinnis of AIG Advisor Group and George Riedel of USIS.
Boutique Firm Snowden Lane Adds $400M UBS Team
Snowden Lane is closing in on $1.4 billion in assets nationwide with its latest recruits.
Advisor Prepares Pro Athletes for Life After Sports
Lee Rawiszer creates lifetime plans for incomes at risk of meteoric rises and crashes — sometimes after meeting the client for less than 15 minutes.