RBC Adds $350 Merrill Team, $125M Morgan Stanley FA: Recruiting Roundup
Meanwhile, wirehouse reps depart for Baird, Ameriprise and Arkadios Capital; Royal Alliance and CAPTRUST attract large groups.
Regulators Charge SII With ‘Unethical’ Conduct Tied to REIT Sales
Advisors' commissions on the sales topped $278,000, according to Massachusetts securities regulator William Galvin.
Cetera Taps Ex-AFLAC Marketer as CMO
It also brings back a large financial-institutions client with $507 million in brokerage assets.
Fiduciary Rule Delay to Cost Investors $11 Billion: Economic Policy Institute
EPI is just one of many consumer groups opposing the rule's 18-month delay until July 2019.
The 2017 Broker-Dealers of the Year Get Real on Tech
The broker-dealer leaders discuss which technology systems they can do without.
Raymond James Nearly Back to ‘Normal’ After Irma
The Florida-based firm, which shifted resources out of the area due to Hurricane Irma, pledges to support associates affected by the storm.
Focus Financial Adds $1.5B RIA in North Carolina: Recruiting Roundup
Kestra, Dynasty, Securities America, FiNet, Janney, Mercer and RBC announce new advisors and teams.
Fidelity Launches Robo Platform for Advisors
The Automated Management Platform allows advisors “to seamlessly manage digital accounts” alongside more traditional accounts, Fidelity says.
What Matters to Reps: 2017 Broker-Dealers of the Year on Recruiting
At the 2017 Broker-Dealers of the Year roundtable in Chicago, we asked the winners to tell us what they were hearing in recruiting meetings.
FINRA Fines BD Over ‘Death Puts’
The ruling comes one month after an SEC judge dismissed similar claims involving one of C.L. King’s hedge fund clients.