Bridging Advisor-Lawyer Gap to Boost Business
How to build advisor-attorney networks that will generate referrals and benefit clients.
DOL, SEC Enforcement: DOL Wins Settlement for Whistleblowers
Meanwhile, the SEC charged a former investment bank analyst who worked in JPMorgan’s San Francisco office with insider trading.
5 Sectors Affected by Tianjin Explosions
The explosions, which killed more than 120 people, highlight questions about China’s safety record and regulatory capability.
The One-Man, $1.2 Billion ETF Shop
Andrew Chanin's PureFunds ISE Cyber Security ETF has had one of the fastest ascents in history.
Wells Fargo Indie Group Adds 2 Ex-Morgan Stanley Advisors
The team, which has about $190 million in assets, was with LPL Financial before working for the wirehouse.
Advisors Urge Investors: Don’t Panic
Their advice to clients as markets plunged: Don’t panic, review your portfolio and — if your stomach can handle it — consider buying more stocks.
Recruiting Roundup: UBS Picks Up Morgan Stanley Reps
Meanwhile, LPL, Ameriprise and Wells Fargo reveal their latest recruiting coups.
Oil at 6-Year Low Amid Global Glut. How Low Can It Go?
Gary Shilling says crude is headed to between $10 and $20 a barrel, while Jeff Saut expects “outstanding opportunities” to buy oil-related securities, including MLPs.
12 Weakest States for Retirement Security: NIRS
There’s “room for improvement” in all states to build better retirement support systems, Diane Oakley said.
SEC, FINRA Enforcement: 2 Busted for Selling Fake ‘Charitable Gift’ Annuities
Meanwhile, the SEC busted a $114 million Ponzi scheme involving driver safety technology.