Changes Afoot in Washington Well Ahead of Midterm Elections
"It’s virtually certain that Republicans will retain control of the House — and now are within striking distance of taking the Senate,” says strategist Valliere.
Focus Draws $1B UBS Breakaway Team
Raymond James tweets its recruiting news, as Morgan Stanley and UBS share their latest advisor deals.
How to Offer a ‘Mind-Blowing’ Client Experience
Successful advisors increasingly take a highly personalized approach.
Merrill Grabs 3 Reps as Raymond James, LPL Each Add 2 Advisors
Meanwhile, Baird picks up a veteran financial advisor in Denver, who previously was with Charles Schwab.
Bill Gates Issues Annual Foundation Letter
Gates pushes innovations in measurement for delivery of effective services.
SEC, FINRA Enforcement: Muni Firm Fined Over Sports Ticket Gifting
Meanwhile, FINRA censured and fined Wells Fargo Advisors over undetected unauthorized fund transfers, and the SEC froze assets in an oil and gas scheme.
SEC Enforcement: ‘Trader’ Bilks Elderly Investors to Pay Mortgage
Other recent targets of SEC actions were an oil services company fined for bribing foreign officials and a penny-stock financier.
Earth, Water, Fire: How to Protect Your Clients' Homes
If coastal homes aren’t getting hit with storms, they’re getting hit with higher insurance rates.
The Top ‘Must-Have’ Feature for Annuities
One annuity feature blows away all the others in client demand, according to a survey by Phoenix Cos.
Top Portfolio Products: First Trust Rolls Out Tactical Commodity Fund
Innealta Capital offers fund of ETFs; new robotics/automation index from ROBO-STOX.