FINRA Elects Piper Jaffray’s Duff as Large-Firm Governor
Duff's "deep experience working with institutional and individual investors will be an invaluable asset to our deliberations,” said FINRA CEO Cook.
LPL Shares Details on 108 Recruited Reps, Newest Partner & Tech Woes
The IBD picked up at least $4.2 billion in assets in Q1'17; earlier this month, its IT network and backup systems went down.
31 Worst Paying College Majors: 2017
ThinkAdvisor narrowed down PayScale’s ranking of 336 majors and found that helping people can be a financially thankless job.
RBC Nabs $5.5M Morgan Stanley Team; Baird Adds $1.4M Group from UBS
Meanwhile, Raymond James and U.S. Trust share the names of their most recent hires.
Ex-BofA Wealth Exec Charged in $2.7M Charity, AIDS Scam
Executive and her husband are accused of grabbing bank’s charitable donations and of fraud affecting HIV/AIDS children’s charities.
Jamie Green: The Right Man at the Right Time
The former editor never lost sight of the real goal: providing information to help independent financial advisors better serve and care for clients.
30 Best Paying College Majors: 2017
ThinkAdvisor whittled down PayScale’s starting salary rankings of 336 majors, which show science and math dominating.
Continuity Planning: The Missing Link in Most Succession Plans
While the industrywide lack of succession planning has been largely addressed, I find today’s plans often fail to address an equally serious problem for clients.
What It Takes to Attract and Keep Financial Services Employees
Beyond wages and benefits, workers want flexibility and career development.
FINRA to Clamp Down on High-Risk Brokers With Tougher Rules
The group is looking to raise fees, consider more severe sanctions and further restrict firm and advisors with disciplinary issues.