Merrill to Pay Fine Over Trading, Disclosure Issues
More than 1,000 trades were not executed to get clients the best prices, and investors didn't get compensation info on thousands of trades.
College Grads Entering Best Job Market Since Great Recession
The New York Fed says the unemployment rate for recent college graduates is under 4% and wages have been rising.
From ‘Pedestrian’ to Personal: Giving Clients What Wirehouses Can’t
Cardan Capital, founded in part by ex-lawyers, broke away from Merrill and now helps women going through life transitions.
Dallas Cowboy Sues Ameriprise Over Advisor’s Fraud
The football player claims the firm never told him about his ex-advisor's suspension or moved to stop fraud.
Fidelity Expands Managed Account Offering to Advisors, Recordkeepers
The offering is a personalized, customized solution for employee retirement accounts.
Focus Financial to Add $16.5B RIA
SCS Financial and its RIA have more than 80 team members and key offices in New York and Boston.
Can This Fee Structure Save Actively Managed Funds?
A new series of funds AllianceBernstein expects to launch this year charge full fees only if they outperform.
Advisor Concern on Client Income Surpasses Volatility: Eaton Vance
The Advisor Top-of-Mind Index for Q2 found a 16% increase from Q1 and the highest ranking since the index’s inception.
Joe Duran — Human Advice Cheerleader: The 2017 IA 25
As digital platforms gain influence, the head of United Capital says advisors must employ more emotions and empathy.
Arkadios Capital Nabs $1.8B Triad RIA, LPL Grabs $420 Merrill Team
Meanwhile, Kovack Securities buys broker-dealer with $200 million and seven advisors.