Will LPL’s New NPH Reps Stay or Go?
Industry specialists debate how the move to a self-clearing firm could impact the 3,200 reps.
Cetera Appoints New Information Officer
Cetera has appointed Michael Ragunas as chief information officer to help the organization develop and implement technology across all its lines of business.
Wells Fargo Names Elizabeth Duke Chair as Sanger to Exit After Scandal
Calls for changes on the board intensified last month after the bank said 500,000 clients might have unwittingly paid for auto protection.
LPL Buys 4 NPH Broker-Dealers
The $325-million purchase price could rise, depending on how much of the National Planning Holdings advisors' revenue moves to their new parent firm.
Brokerage ‘Kickbacks’ From Exchanges Draw Scrutiny
William Galvin of Massachusetts has sent a letter to Fidelity, Schwab, TD Ameritrade, Edward Jones, Morgan Stanley and E-Trade.
C-Suite Survey Reveals Fear of Regulatory Scrutiny: Cipperman
Firm execs also worry about their cybersecurity policies.
Envestnet | Tamarac Adds Single-Sign-On for TD Ameritrade Institutional Users
The enhanced integration gives advisors easier access to data.
AICPA Financial Planning Program Integrated Into 11 Universities’ Curriculums
Coursework focuses on estate, retirement, risk management/insurance, investment and tax planning.
FINRA Expels Hallmark Investments, Bars CEO
The BD ran a scheme to sell stock to customers at fraudulently inflated prices, FINRA says.
BMO Wealth Taps New Head of Advisor Group
Wallace Harris comes on board in Chicago to lead a staff of 240 with some $12.7 billion in client assets.