ThinkAdvisor’s 2015 Q1 Earnings Calendar for the Finance Sector
A list of upcoming earnings release dates for companies of interest to financial advisors and investors.
New Hampshire Hits LPL Over Nontraded REITs
New Hampshire has filed a $3.6 million legal action against the independent broker-dealer.
Ex-NFL Player Accused of Ponzi Scheme: SEC
A former New England Patriot and a partner are accused of bilking investors who thought they were funding loans to pro athletes.
Cetera Grabs Ex-Advisor Group COO to Lead Operations
Industry veteran David Ballard switches firms to work with his former boss Larry Roth in Los Angeles.
Merrill Adds Janney Advisor, Ameriprise Picks Up 3 Reps
The advisors come on board the two firms in Pennsylvania, Texas, Florida and New York.
One Step at a Time: An Open Letter to the Institute for the Fiduciary Standard
The Institute for the Fiduciary Standard called for public and industry comment in a January white paper outlining 11 best practices for advisors and brokers who provide advice to clients. What follows is an open comment letter that I sent to the Institute in March
Fidelity Merges Clearing and Custody Arms; Launches Tech Unit
In a move five years in the making, Fidelity is combining its RIA custodian and broker-dealer clearing units, it announced in March. It has also created a new technology operation, Fidelity Wealth Technologies, that will include the recently acquired eMoney Advisor.
Wells Adds 5 Reps as Raymond James Grabs One of Its FAs
In other news, U.S. Trust shares the names of its latest recruits, and two divorce-focused groups merge.
Women’s Networks Boost Profits: FWA
Successful women’s internal networks help their firms engage female clients and close business deals, a survey by the Financial Women's Association found.
Cetera Names Head of Advisor Growth Efforts
Brett Harrison will take on the new job and remain leader of one of Cetera's 11 broker-dealers.